Tagged with "recent case"

Just Saying “No” to Firm-Provided and Conflicted Legal Counsel in Your Transition may avoid problems later

Posted on April 14th, 2021 at 3:55 PM
Just Saying “No” to Firm-Provided and Conflicted Legal Counsel in Your Transition may avoid problems later

Our recently filed court case of Armstrong and Kiefner vs. Shumaker, Loop & Kendrick, and Michael Taaffe alleges behavior that financial advisors should be aware of in considering whether or not they should have agreed to be represented by legal counsel selected/referred by their new firm in connection with their employment transition.

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TESTIMONIALS

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Jim, Stephany and the whole team were a God send.  We felt like we were put into a situation where we had no advocate. Jim’s team came in with a strong, well laid out strategy on how to get our story heard. Where our outside compliance company had no ability to help, our Broker Dealer was impenitent, and the regulators were aggressive pursuing vague rules, Jim came like a barricade against an assault we did not understand. Though you pay member dues to be affiliated with FINRA and a B/D, you have no voice. The only thing that is truly heard in this un-level playing field is a bulldog’s bark like Jim’s. I would encourage anyone to call Jim and his team to find a real ally in the tough and complicated world of securities regulation. They are truly the best.

Greg P.

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