Skip navigation
Menu
Search Forums
The Advisor ForumsRIAs, Independents

Rules of (dis)engagment

or Register to post new content in the forum

2 RepliesJump to last post

 

Comments

  • Allowed HTML tags: <em> <strong> <blockquote> <br> <p>

Plain text

  • No HTML tags allowed.
  • Web page addresses and e-mail addresses turn into links automatically.
  • Lines and paragraphs break automatically.
Aug 17, 2011 6:22 pm

bullinachinashop

Joined: 2008-07-18Offline

So I'm leaving Merrill and going independent. What are some of the practices i should avoid so i dont get sued, but still bring my book with me?

Aug 17, 2011 7:19 pm

Northfield

Joined: 2007-04-11Offline

Just follow the protocol. If you've not recvd counsel on how that works, it may be worth it to hire an atty who is familiar. Do not deviate from the protocol procedures. At all. Ever.

Be professional, respectful and resist temptations to settle scores or justify your decision.This is not the time to burn bridges.

Good luck. I'm 3 years independent from ML. Couldnt be happier.