Broker Dealers are Prohibited from Preventing Customers from Following a Financial Advisor after his/her Departure for Greener Pastures
I’ve counseled hundreds of registered reps who, for one reason or another, have decided to leave their current broker dealer and move to a new platform. Of course, they want “their” clients to move with them. And usually, the firms want “their” clients to stay. Some firms will even do whatever it takes to keep […]