Call Now for a Free Consultation
(888) 637-5510

Tag: financial advisor 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...

Read More →
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...

Read More →

(312) 238-9650 | Fax (312) 238-8950 | (888) 637-5510 | 125 S. Wacker Drive, Suite 300, Chicago, Illinois 60606

The information you obtain at this site is not, nor is it intended to be, legal advice. You should consult an attorney for individual advice regarding your own situation. You may reproduce materials available at this site for your own personal use and for non-commercial distribution. All copies must include this copyright statement. © 2015 by The White Law Group, LLC All rights reserved.