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We offer highly personalized compliance support to existing RIAs and work in conjunction with our affiliate, The Law Offices of Patrick J. Burns, Jr., P.C. (“PJB Law”). PJB Law is dedicated to helping wire house advisors safely transition to independence.
Why a $3 billion UHNW team in Newport Beach bolted Merrill Lynch and what breakaway bugs are reading into itThe alternating carrot/whip spurs for wirehouse mega-teams has the breakaway buggy bolting along
Weighed down by nonstop fines, LPL finally buys ounce of prevention by putting ex-FINRA veterans on its payrollMark Casady also seats a former assistant attorney general on his board
Why legal experts expect radio personality and registered rep Dawn Bennett to be barred from the industry for what started as an exaggeration of AUMIn the great tradition of legal quagmires, the cover-up seems as much the issue as the original broadcasted misdeed
After Merrill Lynch allegedly 'crippled' their careers, two advisors are prepping a big counterstroke, lawyer saysFINRA may decide whether the wirehouse pulled the trigger too whimsically on its PBIG stars
Backs to the wall, wirehouses renew legal efforts to stem team breakaways -- with junior partners sparking the tensionLawsuits by Merrill, UBS, Morgan Stanley have been spiking in recent months, according to industry observers and lawyers, and it can take precious time and big money to make them go away
Why RIAs need to pay heed to a ruling that put a media star and advisor out of business -- and out $300,000A judge ruled that Ray Lucia lacked the back-up to justify his hypothetical back-tests as the SEC pins a bull's eye on the strategy
|As the Broker Protocol nears its 10th birthday, the author argues that branch managers who jump ship and then recruit others deserve legal cover|
|'Harmonization' comments by Richard Ketchum make all the talk of the group abandoning its RIA-oversight ambitions seem like bunk|
|The broker regulator takes another step towards ruling RIAs by making its arbitration process open to them|
|Not all Republicans were thrilled with the plan that would make FINRA king|
What to make of a fiduciary flag-bearer's alleged misappropriation of $5 million from clients -- and his denial of the chargesArrest of Matthew Hutcheson raises questions about the fiduciary movement
How Glenn Neasham lost his house, was forced to go on food stamps and faces jail time after selling a senior an indexed annuityThe case of this Lake County, Calif. insurance agent gives pause to advisors and agents dealing with seniors -- and indexed annuities
How much should RIAs shake in their boots after the SEC punished three firms then put out a detailed press release?Did the embattled agency go too far -- or not far enough?
|Will partnerships with, respectively, Socialware and Erado, translate into elusive growth-via-networking?|
Broker Protocol signings regain momentum amid new signs that the wirehouses could shut the breakaway portalUneasiness over garden leave at BoA; is it s harbinger of a crackdown or an isolated event?
|SEC's still mum about what will happen to procrastinators; states adopting laidback approach|
|Rahul Shah's first breakout attempt to Wachovia's FiNet fizzled and, his wife, Tejal Shah masterminded the second effort|
|The industry is advancing across a wide swath; one sign is TD's self-assessment|
|The high-profile startup may have passed up chance to win its case, an attorney says|
|U.S. Trust breakaway team headed by Mike Brown says it followed Protocol as it seeks quick transfer of $5.9 billion of assets|
|Fewer wirehouse brokers are fleeing for their own firms, but recruitment-minded RIAs are still joining the list|
An ex-wirehouse broker and a regulatory lawyer divulge breakaway insights at TD Ameritrade conferenceBurns recommends to TD breakaway prospects that they resist discussing with clients the reasons they broke away
|Merrill Lynch, LPL and Ameriprise create addendums to once-sacred truce; they may spark an unfavorable trend|
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