The global pandemic accelerated the evolution of how and where people work. If you’ve decided to join the millions who have welcomed the opportunity for meaningful professional change, it’s essential you prepare and handle your next move with the same care you use with your clients’ portfolios.
Whether you’ve decided to change firms or start your own business, Jacko Law Group can help you turn the page with confidence by focusing on such aspects as Form U-5 disclosures and navigating restrictive contractual covenants in the form of confidentiality, non-compete and/or non-solicitation agreements or provisions. Such matters exceed the scope employment and Human Resources specialists and demand attention from specialized legal counsel familiar with securities laws.
The JLG Experience
Our experienced team has helped many advisors sidestep common pitfalls and avoid unnecessary legal risks during the transition process. Working with specialized legal counsel to put a customized legal plan in place before you make a move is imperative, regardless of whether you’re leaving a Broker Protocol or non-Broker Protocol firm, since litigation can result from not adhering to the regulatory framework involved. If you’re changing firms, we can advise on best practices and strategize on when it comes to how and when to inform your clients of your move. Instead of risking costly legal action by informing clients of your pending move, Jacko Law Group can develop a post-move client-retention communication plan to help you articulate how investors may benefit by moving assets to your new firm.[ctabutton]
