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We Don't Need No Stinkin' Lawyers

By Mark H. Astarita, Esq.

Some clients express the sentiment in the title, although not quite in those words. (I do love Bogart movies though). Usually they are wrong, and typically, they realize they were wrong too many years later - when they try to leave their current firm.Current market conditions are having a significant upheaval in the financial services industry, and many brokers are changing firms, or planning to start their own investment advisory firms. It is obviously a big step, and one that needs to be carefully planned and considered.Part of that planning and consideration needs to be with a securities attorney. While it might be obvious that you will need an attorney when you leave your firm, for some unknown reason it is not so obvious that you need one when you JOIN a new firm...continue to full post

Full post as published by SECLaw.com on November 11, 2008 (boomark / email).