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Investment Advisor February 2009 Thomas D. Giachetti	The Skinny on the Protocol The law is fairly clear that a departing advisor should not bring any customer information to a new employer.
Investment Advisor June 2007 Thomas D. Giachetti	Look Before Leaping For financial advisors, there are many issues to be reviewed before making a decision to leave your current employer. Experienced counsel should be consulted. Every case has similarities, and every case has differences.
On Wall Street October 1, 2013 Mason Braswell	Non-Solicitation Disagreement What can you say without crossing the line and violating a non-solicitation agreement?
Investment Advisor April 2007 Thomas D. Giachetti	First, Hold On to Your Clients Before selling your investment advisory firm, make sure restrictive covenants are in place.
On Wall Street September 1, 2008 Alan J Foxman	Court or Arbitration Sexual harassment claims can go to court under FINRA's rules, but some employment contracts call for arbitration... If I leave my firm can they get an injunction preventing me from taking my clients? Can this go to arbitration?
Financial Planning October 1, 2006 Lynn Hume	The Bond Buyer A NASD hearing panel has censured and imposed a $5 million fine on American Fund Distributors for directing $98 million in brokerage commissions over three years to 50 broker-dealer firms in order to reward them for being top sellers of its funds.
InternetNews December 1, 2005 Jim Wagner	Domain Group Gets Injunction Hearing The Coalition for ICANN Transparency will get its day in court to try and stop ICANN and VeriSign from signing a .com agreement.
Registered Rep. November 1, 2004	The Fear of Pursuit Nonsolicitation agreements are commonplace in the brokerage industry. However, if you change firms and choose to contact clients, whether you will be pursued is a business decision that your former firm would have to make.
Registered Rep. June 1, 2006 Bill Singer	Working Conflict When considering taking an outside job, registered reps must adhere to NASD rule 3030, Outside Business Activities of an Associated Person. Here's a recap of the guidelines.
On Wall Street February 1, 2011 Alan J. Foxman	Reading The Fine Print Advisors write in for legal advice regarding contracts, client lawsuits, non-compete agreements and other concerns.
Financial Planning November 1, 2011 John J. Bowen, Jr.	Learn To Let Go The idea of shedding clients and the revenue they bring may sound reckless, especially in an uncertain economic environment. But working with non-ideal clients is holding you back from reaching your full potential.
Registered Rep. December 4, 2006 Kevin Burke	FIA Urges NASD Committees to Revise Merger Small broker/dealer firms are trying to slow the proposed merger between the NASD and NYSE Regulation, saying that it's being pursued too hastily and the consequences are not clear.
On Wall Street September 1, 2012 Alan J. Foxman	Looking at Illinois Court's Ruling on Non-Compete Clause Our legal analyst explores one state s new rules on employment agreements.
Registered Rep. July 23, 2007 Kevin Burke	Ex-Merrill Broker Wins $1.6 Million in Rare Arbitration Award An NASD arbitration panel awarded a former Merrill Lynch broker $1.6 million for wrongful termination and defamation, claims he had filed against his former employer.
Financial Planning September 1, 2008 John J Bowen Jr	Time to Say Goodbye Today's most successful advisors recognize a simple but powerful fact of business: It's better to work with a small number of great clients than to serve a huge base of clients who are only mediocre.
Registered Rep. August 29, 2014 Mindy Diamond	Ten Years of Myths and Moving Why advisors need to purge common "myths" from their thinking about changing jobs.
Registered Rep. March 1, 2005 Bill Singer	How Free Training Can Cost You a Bundle The cost of not understanding a broker's training-related commitments is high. Firms do sue to recover training costs and arbitrations panels will render such awards. Here is a short list of myths related to training costs.
Registered Rep. September 10, 2002 Rick Weinberg	Pitt Tells NASD, NYSE to Hear California Arbitration Cases Pitt told the exchanges in a letter dated Sept. 5 that they have to "immediately" provide California investors access to arbitration panels in the state or some other forum to dispute claims.
Registered Rep. August 30, 2006 David A. Geracioti	American Funds Slapped Today, an NASD Hearing Panel fined American Funds Distributors, the principal underwriter and distributor of the shares of the American Fund family, for directed brokerage.
On Wall Street August 1, 2013 Alan J. Foxman	Legal Expert Discusses Commission Contracts Our legal expert discusses how to make sure you re getting your due in commissions.
The Motley Fool May 20, 2004 Tim Beyers	American Express Unit in Scandal The broker could be a target of a regulatory inquiry into mutual funds revenue-sharing. How can you tell if your own broker or advisor has a conflict of interest?
Registered Rep. March 12, 2007 John Churchill	NYSE/NASD Merger Attracting Lawsuits A California broker/dealer who has sued to stop the merger of the NYSE and the NASD is looking for like-minded folks to join its cause.
Registered Rep. November 1, 2005	Supplemental Inquiry Q: Is there any way my employer can find out if I receive W-2 income from other sources... Q: Recently at a social event, a co-worker's client told me another local broker (who is a competitor) had made some disparaging remarks about my co-worker... etc.
Financial Planning January 1, 2007 Mike Suppappola	Compliance Tips Solicitation agreements have been around for decades. These relationships present myriad compliance issues, and advisors should keep in mind the following regulatory requirements.
Investment Advisor October 2008	Asset Allocation, October 2008 This month's recommended asset allocations from Investment Advisor's panel of distinguished economists and money managers.
Registered Rep. January 1, 2005 Jennifer Woods Burke	Not in My Name Under limited circumstances, NASD Rule 2130 allows registered representatives to erase histories of disputes with customers from the CRD system.
Registered Rep. August 1, 2006 Mindy Diamond	Essential Reading Pay attention to your records. That's what financial advisors are always telling their clients, and they should think the same way about keeping track of their own personal and professional files. Unfortunately, not every advisor does, and their ignorance can cost them dearly.
Registered Rep. August 10, 2004 David A. Gaffen	Fleeing Brokers Can Take Some Client Info Three of the nation's largest brokerage firms have agreed to make it easier for registered reps to take clients with them when they change firms, eliminating a lot of the cloak-and-dagger antics that brokers often suffer when making a move.
Registered Rep. September 1, 2005 Greg Bailey	The Real Arbitration Nightmare NASD member firms frequently wield far too much influence in arbitration proceedings, and this situation could end up undermining client confidence in the industry if it persists.
Registered Rep. October 28, 2008	Merrill Retention Package Angers FAs With "TRO" Language Merrill Lynch financial advisors are worried about one paragraph in the retention contract they received last Friday, October 24 -- very worried. And it has to do with the so-called broker protocol agreement.
Registered Rep. October 26, 2006 Kevin Burke	NASD Fines B/D for Account Transfer Charges A small independent broker/dealer was slapped with a $50,000 fine and sanctioned for overcharging more than 1,500 customers who decided to follow their brokers to another firm.
Registered Rep. March 1, 2003 Will Leitch	Doing the NASD After waiting more than a year for face time with the NASD, a dissident group finally got the opportunity to air its grievances. Problem is, now it's required to keep quiet about the meeting.
Investment Advisor May 2007	The Original SEC Rule The Security and Exchange Commission's original decision on the broker/dealer exemption rule exempting brokers from regulation as an investment advisor even when they were being paid fees for investment advice.
Registered Rep. January 1, 2007 Karen Donovan	Fix Arbitration Now Here are three problems that lawyers who struggle with the securities industry's arbitration system say they confront on a routine basis. For the most part, the lawyers for customers and those who represent the industry have radically different views on how to fix the system.
Investment Advisor March 2006 Melanie Waddell	The Playing Field: Here, There and Everywhere Dually registered advisors (advisors who are registered with both the SEC and the NASD, and are collecting both fees and commissions) have the best -- and worst -- of both worlds. However, a new study shows when implemented properly, the hybrid model can be very profitable.
Registered Rep. March 1, 2007 Bill Singer	Don't Mess with Suspension Rules If you are like most working people, you go to the office every day. And, if you like your job, it can even be hard to stay away. But if you are a financial advisor and get a suspension from the NASD, don't give in to temptation. Stay away. Go on vacation.
InternetNews July 29, 2005	Microsoft Wins Google-Hire Restraining Order Microsoft's legal win delays search researcher Kai-Fu Lee's defection indefinitely.
Investment Advisor November 2006 Thomas D. Giachetti	Defining Fiduciary What is a financial advisor's true fiduciary duty?
Registered Rep. September 1, 2004 David A. Gaffen	Parting is Such Sweet Sorrow You won't have to steal client addresses and phone numbers any more when switching firms --- that is, if you work for Merrill Lynch, Smith Barney or UBS Securities.
The Motley Fool October 20, 2011	Exactly Why Your Broker May Be Dangerous Be careful out there, because the broker you choose may have an agenda.
Financial Advisor December 2003 Bill Bachrach	The Undisputable Truth Your time is limited, so working with ideal clients is essential.
Financial Advisor July 2011 David Lawrence	The Mobile Advisor Is working without an office a viable business model?
AboutSafety June 21, 2001	Value Of A Good Hearing Loss Prevention Program When a company has an effective hearing loss prevention program, everyone wins -- the employers, employees and safety and health professionals who implement the program...
The Motley Fool November 7, 2006 Dan Caplinger	When Your Advisor Quits Facing the retirement of a trusted financial advisor can be traumatic. By remaining objective and cautious during your transition to a new advisor, you can take steps to ensure that you will continue to receive the good advice you've come to expect.
Registered Rep. July 29, 2009 Halah Touryalai	AIG Advisor Group Sale Is Close The AIG Advisor Group may finally have found a buyer after nine months of operating in limbo.
Financial Advisor March 2012 Joni Youngwirth	When To Prune One can find good reasons to cut clients and good reasons not to. Advisors who do are typically happy they took action.
Registered Rep. June 1, 2008 Christina Mucciolo	Let's Litigate Here's a little news that might interest you: Sometimes it pays to litigate against the Financial Industry Regulatory Authority (FINRA, formerly NASD) rather than settle.
The Motley Fool March 16, 2005 Selena Maranjian	Don't Believe in Your Company Too Much If you are plunking much of your savings into the stock of your employer, often through good intentions and a 401(k) plan, you're actually putting too many of your nest eggs in one basket.
Registered Rep. October 1, 2006 Bill Singer	The Long Arm of NASD A registered rep with Northwestern Mutual Investment Services, helped found the Wisdom Mission Church, of which he was president: The NASD Investigates... SEC Review...
Registered Rep. June 2, 2003 David A. Gaffen	Vermont Judge Rules Against a Merrill TRO A federal judge in Vermont has ruled against Merrill Lynch's attempt to prevent two former brokers from contacting clients they held while at the firm.