Dealing with Non-Solicits

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Sep 6, 2007 10:14 pm

I'm wondering how some of you who have left a firm like AGE to go with an independent BD have dealt with the issue of Non-Solicitation and Confidential Client Information clauses found in most FA agreements that most of us had to sign to get into the business in the first place. I would like to hear your personal experience on how you handled this and what the outcomes were. I'm also curious about this new issue surrounding Regulation S-P (current Registered Rep issue) that wirehouses are now using to go after FA's who leave eventhough the departing FC followed "protocol".


Any input/experience would be appreciated.