Eccleston Law: Attorney James Eccleston quoted in November issue of Investment Advisor Magazine

Posted on October 25th, 2012 at 9:00 AM

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

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