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The Wall Street Journal: Taking Your LinkedIn Client Contacts to a Rival Firm

Posted on June 7, 2022

Those contacts are essentially the adviser's client list

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InvestmentNews: FINRA puts onus on clients to find broker recruitment incentives

Posted on June 7, 2022

New proposal would make discovering bonuses for moving a do-it-yourself proposition for investors

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Brokers Face Pay Disclosures

Posted on June 7, 2022

Rules Would Require Defectors to Inform Clients of Signing Bonuses, Easy Loans.

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Quarter of investors lack a financial plan, survey shows

Posted on June 7, 2022

Panel rules that broker violated terms of employment agreement

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  • Home
  • Practice Areas
    • Broker & Advisor Transitions
    • Civil Litigation
    • Securities Arbitration
  • About the Firm
    • Brent A. Burns
    • Prof. Christine M. Lazaro
  • In The News
  • Articles
  • Contact
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  • Home
  • Practice Areas
    • Broker & Advisor Transitions
    • Civil Litigation
    • Securities Arbitration
  • About the Firm
    • Brent A. Burns
    • Prof. Christine M. Lazaro
  • In The News
  • Articles
  • Contact