Written by attorney Robert Lowell Herskovits

Protocol for Broker Recruiting

Rob Herskovits, the go-to securities lawyer for employment disputes, looks at FAs changing jobs and the effect of employment agreements they signed with a broker-dealer. Rob addresses non-competes, non-solicitation rules and realities, and other issues including the Protocol for Broker Recruiting. What happens when an FA leaves a Protocol signatory firm? And what are the real-world exceptions to those rules?

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