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: FinancialCounselFinancial Advisers In Employment Transition: A Primer On The Protocol
By James Eccleston
In 2004, three financial services firms devised a way to ease the transition of financial advisers from one firm to another. The three firms - Citigroup Global Markets (Smith Barney), Merrill Lynch, and UBS Financial Services - signed an agreement called the Protocol for Broker Recruiting (the "Protocol"). Since then, at least 75 financial services firms have signed the Protocol. The result has been a profound increase in the number of transitions and an equally profound decrease in the number of T.R.O. litigation filings!
Full post as published by FinancialCounsel on February 03, 2009 (boomark / email).
Employment Contracts
General Contract Law Principles
Stockbrokers and Financial Advisers
alleging careless mistakes or intentional fraud.
John Vermillion and Associates LLC et al.
allegedly misrepresented themselves as qualified financial advisers to sell living trusts and exploit senior citizens.
Manufacturing Protocol
Sioux Manufacturing Corp. pays $1.9 million settlement for failing to meet Kevlar specifications.
Financial Elder Abuse - Financial Exploitation, Elder Abuse Lawyers
Financial Elder Abuse alleging seniors are taken advantage of for their finances.
New York Employment Law
alleged violations of New York employment law.
Frank Bluestein, The Maximum Financial Group, Inc., Questar Capital Corporation, and Gunnallen Financial, Inc.
alleging schemed investors out of hundreds of millions of dollars.
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