Eccleston Law: Attorney James Eccleston quoted in November issue of Investment Advisor Magazine
Attorney James Eccleston was quoted in the November issue of Investment Advisor magazine in the article "6 Overlooked Criteria for Broker-Dealer Due Diligence" as saying:
"While customer protection issues are not directly present because advisors are buying shares for their own account in what is an employee-owned company, advisors need to be wary of valuation accuracy, dilution issues, vesting issues, transferability issues and any restrictions associated with related employment agreements such as duty of loyalty, non-solicitation and confidentiality provisions. The devil is in the details."
This article can be read at http://henschenassoc.com/6-overlooked-criteria-for-broker-dealer-due-diligence/
Related Attorneys: James J. Eccleston