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Content tagged "Patrick Burns"


The Law Offices of Patrick J. Burns, Jr., P.C.

Filed under: Attorney, RIA Set-up Firm, Specialized Breakaway Service
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Tom Lewis: That's how things are in a community like Rochester, where successful people know each other and all socialize.

After Merrill Lynch allegedly 'crippled' their careers, two advisors are prepping a big counterstroke, lawyer says
FINRA may decide whether the wirehouse pulled the trigger too whimsically on its PBIG stars

Tuesday 10.14.14
Patrick Burns: The shift was sudden.

Backs to the wall, wirehouses renew legal efforts to stem team breakaways -- with junior partners sparking the tension
Lawsuits 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

Wednesday 10.23.13
Patrick Burns: Is there really that much of difference between their branch manager's encouraging them to join a new firm versus a recruiter at a Protocol member firm's doing the same?

Why MSSB's legal hardball in Idaho could bring overdue change to the Broker Protocol
As the Broker Protocol nears its 10th birthday, the author argues that branch managers who jump ship and then recruit others deserve legal cover

Wednesday 6.12.13
Matthew Hutcheson testified in Congress about 401(k) plans and now the DOL is breathing down his neck.

What to make of a fiduciary flag-bearer's alleged misappropriation of $5 million from clients -- and his denial of the charges
Arrest of Matthew Hutcheson raises questions about the fiduciary movement

Thursday 5.10.12
Thomas B. Lewis: A new protocol might exclude non-wirehouses.

Broker Protocol signings regain momentum amid new signs that the wirehouses could shut the breakaway portal
Uneasiness over garden leave at BoA; is it s harbinger of a crackdown or an isolated event?

Tuesday 4.5.11
LInda Cena: Michigan's top RIA regulator, says one advisor recently told her, "Unless we have a direct connection with God, we’re not going to complete all the ADV forms."

(Updated) RIAs stumble at ADV form goal line
SEC's still mum about what will happen to procrastinators; states adopting laidback approach

Monday 4.4.11
Bank of America is trying to stop a giant private banker from waltzing away with $5.9 billion.

Bank of America throws a legal wrench at big wealth management start-up
U.S. Trust breakaway team headed by Mike Brown says it followed Protocol as it seeks quick transfer of $5.9 billion of assets

Friday 12.10.10
Marc Thomas: The former Schwab investment consultant joined the Protocol to lay the groundwork for recruiting to his startup RIA.

Broker Protocol growth slowing; is the list reaching critical mass?
Fewer wirehouse brokers are fleeing for their own firms, but recruitment-minded RIAs are still joining the list

Friday 9.24.10
Patrick Burns: You want your full book protected -- not half your book

An ex-wirehouse broker and a regulatory lawyer divulge breakaway insights at TD Ameritrade conference
Burns recommends to TD breakaway prospects that they resist discussing with clients the reasons they broke away

Thursday 2.4.10

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Tom Bradley: I think the average fee is 90 basis points roughly and we don't intend to change that.
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Expect TD Ameritrade to be top robo by 2016 with Morningstar, iRebal and day-one $100-million revenues -- albeit with minor risks to its power play

Tom Gooley: You need to continue to evolve system and service platforms to make sure you're keeping up.
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LPL taps the man who saved Morgan Stanley's bacon to take service to a Schwab RIA-level echelon

Sallie Krawcheck: We also didn't talk about my biggest asset -- which is me -- and if the market goes down, what are the chances of me keeping my job.
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At Morningstar, Sallie Krawcheck blasts her own [presumably ex-] financial advisor -- and herself

James Osborne: I'm not management material.
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James Osborne makes a waiting list part of his new RIA's business model after 18 months -- with client care and mountain biking in mind

Alexey Sokolin:  If Stein and Bo Lu of Future Advisor are right, there will not be much left to unbundle.
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An insider reveals turbo-contents of the In|Vest conference in New York, a summit of VCs, robo-founders and big banks


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