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William A. Jacobson

William’s Recent activity

Happy New Year, Maybe.
Dec 01, 2002
In the Chinese calendar, 2002 was the Year of the Black Horse. For stockbrokers, 2002 is the Year to Forget. On the business side, the problems have been plentiful. The relentless stock market slide has caused broker...
Deferred Compensation. Whose Money Is It?
Oct 01, 2002
Firms love deferred compensation. After all, it is your money they are deferring, not their own. Just try asking your firm to defer taking its share of your gross commission. These golden handcuffs give you added...
Cashing Out
Sep 01, 2002
Understandably, the losses of brokerage clients have gotten all the headlines. But the truth is that the bear market has also devastated many careers in the investment advisory business. As investors headed for the...
Street Legal: Return Policy
May 01, 2002
Firms now fear that they paid too much up front to recruit brokers during the bull market. They want the money back. What's a broker to do?
Escaping Nonsolicitation Agreements
Aug 01, 2001
The use of noncompetition and nonsolicitation agreements is pervasive in the securities industry. These agreements can be the legal equivalent of a ball and chain around a broker's leg, preventing him from exercising...
Legal Corner: The Myth of 'At-Will' Employment
Jun 01, 2001
Even if your employer terminates you claiming you were an at-will employee, you can assert a claim against the employer based on other legal doctrines. My first conversation with a terminated or demoted securities...