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David Abell Weighs in on FTC's Non-Compete Ban
https://www.wealthmanagement.com/regulation-compliance/ftc-non-compete-ban-could-impact-wirehouses-and-banks-more-rias The Federal Trade...
David Abell
Jun 2, 20243 min read
54 views
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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
May 23, 20233 min read
91 views
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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
May 19, 20235 min read
68 views
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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
May 15, 20233 min read
43 views
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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.
David Abell
May 11, 20233 min read
40 views
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For Brokers and Advisors: Overcoming FINRA Rule 4111 Restricted Firm Status
Navigating FINRA Rule 4111: How Brokers and Advisors Can Overcome the "Restricted Firm" Designation and Thrive Independently Beginning in...
David Abell
May 3, 20233 min read
17 views
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Hybrid Transitions: More Complex Advisor and Broker Breakaways
Abell Law specializes in representing financial professionals transitioning between firms - Hybrid Broker Protocol moves can be challenging.
David Abell
Apr 27, 20233 min read
9 views
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Broker/Advisor Breakaway: Legal To-Do List
Legal considerations when transitioning to independence as an investment advisor or broker
David Abell
Apr 26, 20234 min read
10 views
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Wealthy Clients Drive Advisors Towards Firms with Robust Technology and Research Capabilities
Abell Law helps financial advisors with wealthy clients transition to firms offering robust technology, research and cybersecurity
David Abell
Apr 26, 20232 min read
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Raymond James Commits - “We Won’t Compete with You”
Raymond James has decided not to pursue a direct-to-consumer business model and will instead focus on supporting its advisors through...
David Abell
Apr 25, 20232 min read
24 views
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Merrill Lynch Wins $1.5M Clawback from Former Advisor (Financial Advisor IQ)
This FAIQ article reports that a former Merrill Lynch advisor, Howard Rowen, has been ordered to repay over $1.5 million in promissory...
David Abell
Apr 24, 20232 min read
23 views
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JPMorgan Seeks TRO Against Advisor Who Fled to Morgan Stanley (Financial Advisor IQ)
This recent FAIQ article discusses a legal dispute between JPMorgan and a former employee, James Vallery, who joined Morgan Stanley after...
David Abell
Apr 24, 20231 min read
5 views
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Understanding the Broker Protocol: Key Considerations for Financial Advisors Switching Firms
Understanding the Broker Protocol: Key Considerations for Financial Advisors and Brokers Switching Firms Introduction: At Abell Law, we...
David Abell
Apr 20, 20233 min read
91 views
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Navigating Broker/Advisor Transitions: The Importance of Expert Legal Guidance
Transition Strategies and Support for Financial Professionals Taking the leap to change your professional path requires careful planning...
David Abell
Apr 19, 20232 min read
2 views
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THOUGHTS FOR BREAKAWAY ADVISERS AND BROKERS
THOUGHTS FOR BREAKAWAY ADVISERS AND BROKERS By David Abell, Esq. Abell Law, Ltd. Co. When a broker or adviser decides to go independent,...
David Abell
Apr 13, 20233 min read
7 views
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Wirehouse to RIA in a $0 commission world, January 22, 4:15 p.m. ET
https://www.tdainstitutional.com/insights/zero-acquisition-webcasts-landing-page/wirehouse-to-ria-in-a-0-commission-world.html If you're...
David Abell
Jan 21, 20201 min read
30 views
0 comments
Morgan Stanley Hikes Revenue Thresholds in Comp Grid Change
Morgan Stanley increased revenue thresholds by about 10% for the upcoming year, according to a report in Financial Advisor IQ (citing to...
David Abell
Nov 19, 20191 min read
31 views
0 comments
Morgan Stanley Obtains TRO Against Breakaway Long Island Advisor
Morgan Stanley shuts down Long Island advisor group. The parties stipulated to a temporary restraining order until resolution by a FINRA...
David Abell
Nov 18, 20191 min read
70 views
0 comments
Edward Jones Wins TRO Against Broker Who Joined Ameriprise
Edward Jones granted injunction prohibiting Nevada broker from contacting former clients. TRO triggered by broker allegedly contacting...
David Abell
Nov 18, 20191 min read
59 views
0 comments
JP Morgan Seeks TRO Against Florida Broker Who Joined UBS
Aggressive solicitation of only 8 clients and $14m in assets lands JPMorgan breakaway in TRO hot water. JPMorgan appears to have been...
David Abell
Nov 18, 20191 min read
17 views
0 comments
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.
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