News & Analysis as of

Restrictive Covenants Registered Investment Advisors

Stark & Stark

[Event] RIA Compliance and Legal Strategies Conference - November 9th, Hamilton, NJ

Stark & Stark on

The RIA Compliance and Legal Strategies Conference is an essential event for registered investment advisors to gain a valuable understanding of current regulatory and compliance-related issues. Attendees will earn 4 CFP CE...more

Stark & Stark

[Event] RIA Compliance and Legal Strategies Conference - June 1st, Wayne, PA

Stark & Stark on

The RIA Compliance and Legal Strategies Conference is an essential event for registered investment advisors to gain a valuable understanding of current regulatory and compliance-related issues. Attendees will earn 5 CE...more

Genova Burns LLC

Morgan Stanley Abandons Broker Industry Recruiting Pact

Genova Burns LLC on

In a major blow to the Protocol for Broker Recruiting, which limited restrictive covenants in the broker industry and resulting litigation, according to Reuters (October 30, 2017), Morgan Stanley has decided to withdraw from...more

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