logo
logo
logo
MENU
David T. Harmon
Member
David T. Harmon
Visit Profile

In The News: Fleeing Morgan Stanley Brokers Improperly Solicit Clients

It was reported in today’s Advisor Hub that several brokers allegedly used a Morgan Stanley dinner seminar to solicit clients and prospects the night before they moved to Raymond James. This is quintessential pre-solicitation and, if true, would fall squarely within a violation of almost any reasonably drafted non-solicitation clause, regardless of the employer. This would also be a NO-NO even if this was considered to fall under the “protections” of the Protocol for Broker Recruiting. A casebook scenario of what not to do.

If you have any questions about this post or any other related matters, please email me at dtharmon@nmmlaw.com.

Share
Related Posts
In the News: Fired UBS Broker Gets to Keep Half-Million-Dollar Note Balance
In the News: UBS Sues Fired Broker Who Didn’t Pay Arbitration Award
In the News: Wells Fargo Advisors to Tell Customers They can Keep Data Away from Brokers
David T. Harmon
Member
David T. Harmon
Visit Profile
Related Posts
In the News: Fired UBS Broker Gets to Keep Half-Million-Dollar Note Balance
In the News: UBS Sues Fired Broker Who Didn’t Pay Arbitration Award
In the News: Wells Fargo Advisors to Tell Customers They can Keep Data Away from Brokers
Share
Join our growing team
We are looking for quality attorneys to help us do more for our clients. At Norris McLaughlin, each attorney has the same opportunity to succeed whether you’re at the beginning of a career or pinnacle of the profession.
Subscribe to our content
Receive timely legal information
delivered to your inbox
Subscribe to our content
Receive timely legal information
delivered to your inbox
© 2021, Norris McLaughlin, P.A., All Rights Reserved. Attorney Advertising.
Meritas

We use cookies to ensure that we give you the best experience on our website. If you continue to use this site we will assume you consent to our cookie policy. Learn more