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Transitions in Employment

Employment Transitions Law Blog

Discussing executive compensation and job transitions.

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May 22, 2019

Revenge is Not Always a Dish Best Served Cold: Employer Retaliation Can Be Costly

Workplace retaliation is one of the most common, yet most often overlooked, violations of law. Retaliation in the workplace generally occurs when an individual suffers an adverse action by an employer because the individual has engaged in, or may engage in, one or more activities protected by federal, state, and/or local anti-discrimination laws, whistleblower laws, or other laws that protect employees from retaliation by employers for exercising their employment rights. » Read More

Feb 26, 2019

Companies’ Utilization of Fitness Data Raises Privacy Concerns

Whether it’s a wrist-worn activity tracker or an app on your telephone that counts your daily caloric intake, it is axiomatic that technology is an essential part of our everyday lives.  All the while, these technologies are compiling data about our eating, exercise, and sleeping habits; data which can be analyzed to identify deficiencies and formulate plans for a healthier lifestyle.  » Read More

Oct 25, 2018

In the News: Fired UBS Broker Gets to Keep Half-Million-Dollar Note Balance

It was reported yesterday in AdvisorHub (Fired UBS Broker, a Hunting Show Host, Gets to Keep His Half-Million-Dollar Note Balance by Mason Braswell) that UBS was unable to enforce repayment of the outstanding balance on its promissory note in a FINRA arbitration against a broker it terminated for allegedly violating conflict of interest policies – failing to disclose client relationships. » Read More

Oct 10, 2018

Reasons Not to Quit a New Job

In Reasons Not to Quit a New Job featured in today’s The Wall Street Journal (page A12), Sue Shellenbarger provides great counsel:

Don’t be seen as someone who jumps from job to job and make the most of your current position and potential opportunities at your employer – give it a chance.

» Read More

Aug 22, 2018

Too Many Cooks Spoil the Broth

Yesterday’s Business & Finance section of The Wall Street Journal (pp. B1, B2) featured an article covering workplace inefficiencies that result when employees are required to report to “too many bosses.” The article notes that “more than two-thirds of employees polled around the world say they have to consult with more than one boss to get their job done…”. » Read More

Jun 25, 2018

In the News: Wells Fargo Advisors to Tell Customers They can Keep Data Away from Brokers

I was recently interviewed by AdvisorHub, a popular wealth management news source, to discuss the news that as of today, Wells Fargo Advisors will start telling customers of its private client group, that they can prevent their brokers from taking their contact information with them should the advisor leave the firm. » Read More

Feb 27, 2018

Back to the Future: 2018 and the Protocol for Broker Recruiting

I had the honor of writing a guest column this week for the Mark Elzweig Company newsletter. Mark is an executive recruiter who specializes in placing financial advisors at wirehouse, regional, independent, and RIA firms. In the column, “Back to the Future: 2018 and the Protocol for Broker Recruiting,” I  outline key points of focus in the movement of financial advisors from firm-to-firm under the new Protocol landscape. » Read More

Feb 21, 2018

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. » Read More

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