Broker Protocol/TRO's

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Apr 9, 2009 8:31 pm

What are some of the experiences out there for people going to non protocol firms.  Are TRO's happening out there today in this environment.  You hear that there is a flood of advisors leaving the wires, mostly smaller producers for sure.  I'm looking to go to a non protocol firm and I am wondering is there a way to protect myself.  Any knowledgeable help would be appreciated.

Apr 13, 2009 4:32 pm

I would suggest that you give a copy of the material you are taking with you when you resign.  Follow the Protocol strictly.  You will see plenty of threads where the firm did something dumb and then the firm sued the advisor.  Every firm is reacting differently these days.

Good Luck.


ash

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