The Georgia Court of Appeals addressed the "garden leave" notice provisions in an employment agreement vs the broker protocol, and find that the notice provisions of a contract may be enforced, and are not prohibited by the protocol for broker recruiting.
Scams targeting the elderly are on the rise. A 2016 study found that nearly 1 in 5 US Adults over 65 had been victims of financial abuse. Get helpful information to use to talk with your parents to make sure that they don't fall prey.
We continue to field calls from Fidelity employees, or former employees, facing issues with respect to the computer reimbursement program. Those employees terminated will likely face a FINRA investigation into their conduct. We've got free, valuable information that may help those in that situation.
From time to time, a financial advisor is arrested or charged with a crime. When that happens, lots of questions arise, including: What do I need to know? How will this impact my career? What about my U4? We've got some answers.
If you are a financial advisor who is a Certified Financial Planner ®, you should be careful when responding to a Notice of Investigation from the Certified Financial Planner Board of Standards, Inc. (the CFP Board). Sending you the Notice is the formal manner in which an investigation into your conduct is commenced by the […]