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Securities Employment Advice - Transcript

If you are thinking about a transition from broker dealer to broker dealer or if you’ve been terminated you need to act very fast.

In fact you should be you should have had a lawyer already if either you’re being terminated or you’re leaving.

If you know you’re leaving there are so many complex rules relating to client transitions, you have contracts and compliance manuals with broker-dealers that talk about non-compete. You know client information, trademark secrets, client information that needs to be kept at the firm and not transitioned.

And so you really need to make sure that you’re checking all the boxes and not doing anything wrong because if you do it wrong you may get another mark on your form u5.

If you are being terminated it is highly likely that it is not out of the blue and that you knew there was an investigation going on.

You should have hired a lawyer at the time that the investigation began, before you submitted anything in writing to the firm.

The firm has lawyers FINRA has lawyers you need, a lawyer as well because they are going to tell you right off that their lawyers are not representing you they’re representing the firm.

That means you are pro se dealing directly with a lawyer which is not a very good place to be in in a highly regulated industry.

So it’s very important to retain counsel during transitions from either terminations or deciding to leave a firm and move, and you gonna you think you’re gonna move your book of business. You need to know what is ahead and you need to strategize on the best way to do it.

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