The Securities Law Blog from SECLaw.com

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Showing posts with label Employment. Show all posts

Showing posts with label Employment. Show all posts

Wednesday, February 20, 2019

NLRB Returns To The Traditional Common-Law Agency Test for Independent Contractors - Hunton Employment and Labor Perspectives

We will need to see if this ruling impacts the brokerage industry. https://www.huntonlaborblog.com/2019/02/articles/nlrb/nlrb-returns-tra...

Tuesday, July 18, 2017

Not All Trial Lawyers Can Handle All Kinds Of Trials

Great article from Above The Law. Although it is directed at young attorneys deciding on a career path, it provides great advice to clients ...

Thursday, September 22, 2016

PNC Employee Wins U-5 Expungement and Damages

A former broker at PNC sued PNC for a dirty U-5, alleging defamation, libel, misconduct, wrongful termination , and wrongdoing in connect...

Wednesday, November 26, 2014

Advisors Have Leverage In Employment Agreements

Executive Recruiter Mindy Diamond finds that compliant advisors, with $100 million in assets under management, are in the driver's seat ...

Tuesday, July 29, 2014

Considering a Move? Now Might Be The Time

Changing firms can be a challenging and stressful time. We have spent decades helping advisers change firms, dealing with restrictive covena...

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