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Articles tagged "Patrick Burns"


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Tom Naratil plays catch-up on recruitment withdrawal after setting the early pace.

How UBS exited the Broker Protocol and why the aftereffects may surpass those of Morgan Stanley's earlier departure

Using Thanksgiving and the alleged complicity of his firm's attorneys as a smoke screen, CEO Tom Naratil made good on warning to slam the door on his sales force

November 28, 2017 at 2:37 AM

Sharron Ash: What next? Are they going to call it attorney-client reporting?

RIA lawyers cry foul against Bressler, Amery & Ross -- keeper of the Protocol flame -- after Morgan Stanley exit throws sunlight on attorney behavior

A livid Sharron Ash says she was stonewalled by Bressler, Amery when she called for info after spotting a buried notice that Morgan Stanley was bowing out of the Protocol

November 2, 2017 at 5:26 AM

Emily Gordy: I will be able to have an effective dialogue with FINRA.
October 6, 2015 at 9:19 PM

Tom Lewis: That's how things are in a community like Rochester, where successful people know each other and all socialize.

After Merrill Lynch allegedly 'crippled' their careers, two advisors are prepping a big counterstroke, lawyer says

FINRA may decide whether the wirehouse pulled the trigger too whimsically on its PBIG stars

October 14, 2014 at 5:39 PM

Patrick Burns: The shift was sudden.

Backs to the wall, wirehouses renew legal efforts to stem team breakaways -- with junior partners sparking the tension

Lawsuits by Merrill, UBS, Morgan Stanley have been spiking in recent months, according to industry observers and lawyers, and it can take precious time and big money to make them go away

October 23, 2013 at 5:53 AM

Patrick Burns: Is there really that much of difference between their branch manager's encouraging them to join a new firm versus a recruiter at a Protocol member firm's doing the same?

Why MSSB's legal hardball in Idaho could bring overdue change to the Broker Protocol

As the Broker Protocol nears its 10th birthday, the author argues that branch managers who jump ship and then recruit others deserve legal cover

June 12, 2013 at 5:05 AM

Matthew Hutcheson testified in Congress about 401(k) plans and now the DOL is breathing down his neck.
May 10, 2012 at 5:09 AM

Thomas B. Lewis: A new protocol might exclude non-wirehouses.

Broker Protocol signings regain momentum amid new signs that the wirehouses could shut the breakaway portal

Uneasiness over garden leave at BoA; is it s harbinger of a crackdown or an isolated event?

April 5, 2011 at 2:02 PM

LInda Cena: Michigan's top RIA regulator, says one advisor recently told her, "Unless we have a direct connection with God, we’re not going to complete all the ADV forms."

(Updated) RIAs stumble at ADV form goal line

SEC's still mum about what will happen to procrastinators; states adopting laidback approach

April 4, 2011 at 2:05 PM

Bank of America is trying to stop a giant private banker from waltzing away with $5.9 billion.

Bank of America throws a legal wrench at big wealth management start-up

U.S. Trust breakaway team headed by Mike Brown says it followed Protocol as it seeks quick transfer of $5.9 billion of assets

December 10, 2010 at 3:22 PM

Marc Thomas: The former Schwab investment consultant joined the Protocol to lay the groundwork for recruiting to his startup RIA.

Broker Protocol growth slowing; is the list reaching critical mass?

Fewer wirehouse brokers are fleeing for their own firms, but recruitment-minded RIAs are still joining the list

September 24, 2010 at 3:50 AM

Patrick Burns: You want your full book protected -- not half your book

An ex-wirehouse broker and a regulatory lawyer divulge breakaway insights at TD Ameritrade conference

Burns recommends to TD breakaway prospects that they resist discussing with clients the reasons they broke away

February 4, 2010 at 5:22 AM

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