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: FinancialCounselBroker Protocol Revisited; An "Industry Standard" For Employment Transitions
By James Eccleston
In early 2009, I examined the Protocol for Broker Recruiting (the "Protocol") and court opinions applying it to situations in which financial advisers had transitioned their employment from one financial services firm to another. The Protocol initially was conceived as a "safe passage" set of procedures which allowed signatories to the Protocol to avoid litigation (TROs, other injunctive relief and damages) associated with the solicitation of clients and the taking of client information from one signatory firm to another signatory firm.
Full post as published by FinancialCounsel on September 10, 2010 (boomark / email).
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