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Tag: Broker recruiting protocol

Broker Protocol

Blog, Current Investigations

November 29, 2017

UBS Wealth Management withdraws from Broker Protocol

Two Big Firms Exit Broker Protocol, Financial Advisors may be Vulnerable to Litigation UBS Wealth Management Americas is exiting the...

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broker protocol

Blog, Securities Fraud

January 18, 2012

Brokerage Firm Protocol for Broker Recruiting

Broker Protocol In an effort to curb the litigation that occurs when financial advisors move from one broker-dealer to another, in 2004...

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securities employment attorney

Blog, Securities Fraud

February 4, 2011

FINRA Attorney for Financial Advisors

Financial Advisor Attorney – FINRA Employment Lawyer The White Law Group represents financial advisors in a variety of securities /...

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