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Sue Happy

In The Wall Street Journal, by Suzanne Barlyn (How to Switch Firms…and Not get Sued), Sept. 20, 2010. ({JR} pg. R9). Financial advisors that switch firms need to be careful about following industry accepted guidelines. Legal proceedings can be brought against advisors for such things as not following an employment contract, recruiting key co-workers, informing clients of a potential move, taking information that may indentify clients, and not paying back any portion of a signing or retention bonus. (Thomas K. Potter III., Burr  Foreman, Three Bridge Wealth Advisors, Stark & Stark, Neal, Gerber & Eisenberg LLP, Fields, Fehn & Sherwin, wsjreview.com). 4



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