David Abell

Enforceability of Non-Compete Provisions in the Financial Services Industry: Fiduciary Duty Impact

Introduction Non-compete provisions are common in the financial services industry, often included in employment agreements to protect a...

David Abell

SEC Warns Brokers and Investment Advisers: Record-Keeping Rule Enforcement and Compliance

SEC Warns Brokers and Investment Advisers: Record-Keeping Rule Enforcement Targets Compliance of Intermediate and Smaller Firms In recent...

David Abell

Avoiding Pitfalls in Transition: Lessons for Brokers from a Recent JPMorgan-Morgan Stanley TRO

In the world of financial services, the transition from one firm to another can often lead to complex legal situations, especially when...

David Abell

Safeguarding Client Privacy During a Broker's Departure: Thoughts on Regulation S-P

Strategies and best practices for protecting client privacy and adhering to Regulation S-P during a transition between firms.

Welcome to the Abell Law blog. Here you will find articles of interest and legal commentary for Financial Advisors, RIA's, breakaway brokers, brokers transitioning to new firms, and others interested in the complexities of both protocol and non-protocol transitions.