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Showing posts with label Broker. Show all posts
Showing posts with label Broker. Show all posts
Friday, June 12, 2020

Regulation BI Compliance Due by June 30

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Compliance with Regulation Best Interest, including the filing of Form CRS is due on June 30, 2020 for all registered broker-dealers and inv...
Tuesday, April 14, 2020

Paycheck Protection Program Loan Will Not Cause a U-4 Disclosure When Forgiven

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The government's use of PPP loan forgiveness has raised concerns for brokers as to whether the forgiveness of the loan will create a U-4...
Thursday, April 28, 2016

Another Broker Promissory Note Win

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As I have written before, broker promissory note cases are difficult to defend. The firms have had decades of experience writing the docum...
Monday, December 21, 2015

Credit Suisse Deal Gets Worse - 13 Year Repayment

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This Credit Suisse - Wells Fargo deal is getting worse. Aside from a $5 million bonus cap, we are now learned that the forgiveness on the ...
Friday, October 23, 2015

Broker Independence: Morgan Stanley Advisors Join FiNet

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The move to independence continues. Two Morgan Stanley advisors with $152 million in combined client assets have gone independent with th...
Thursday, October 22, 2015

Credit Suiss Advisors Free to Move to Wells Fargo

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Wells Fargo struck a deal with Credit Suisse to smooth the recruitment of the Swiss lender's private-bank employees as their firm retr...
Wednesday, August 26, 2015

Small Percentage of Brokers Fined is a Bad Thing?

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It is truly a bizarre world that we live in. Anyone involved in the financial services industry knows that  the overwhelming majority, in fa...
Wednesday, August 12, 2015

Spike in FINRA, SEC Regulation Leaves Star Brokers Exposed

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We represent big producers and teams across the country, and have done so for years. While this article presents an unfair characterization ...
Wednesday, June 10, 2015

Can Stifel Retain the Barclay Advisors?

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According to Financial Planning, Stifel's proposed acquisition of Barclays's wealth management unit offers the chance to serve mor...
Wednesday, June 3, 2015

Broker Dealers Move to Banking Fueling Transitions?

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We are seeing an increase in broker transitions between wirehouses, and it  is not only the larger producers who are making these moves. ...
Sunday, February 1, 2015

The Advantages of a Regional Brokerage Firm

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In my securities law practice I have represented large national firms, regional firms, and small local firms and hundreds of brokers from al...
Wednesday, December 18, 2013

Reviewing Broker Transition Agreements

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With rising markets, and increase trailing twelves, more and more advisers are changing firms in the hopes of a better environment for thems...
Tuesday, March 12, 2013

Challenges in Transitioning Away From Your BD

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My securities law practice involves most every aspect of the brokerage industry, and at various times I represent a significant number of br...