Transition Attorney Recommendation: Henry Willett
If you are transitioning to a new firm, I highly recommend Henry Willet. He is specifically focused on our business, FINRA rules, broker protocol rules, and employement law.
Do NOT hire some "employment law" attorney. They have no clue about our business.
A $2M producer who had an unfortunate situation (like me) recommended him to me. Thank goodness. He guided me through the transition and I trust him implicitly.
Yes, this is a blatant endorsement. But I know I am helping my brethren FA's in the process.
Good post. It is incredibly important to have guidance when you change firms. Better safe than sorry, keep yourself out of legal trouble, and should something go wrong you're ready for it. I've been involved with a nasty arb case now for 2 yrs, and it is not fun, but oh so expensive. Fortunately, we had the capital to defend ourself, otherwise we'd have gone broke. My situation will hopefully be resolved by mid summer. Man, I can't wait until it is over, as it is in my mind daily, makes it very hard to plan my life or business.