When Should Financial Advisors Get an Attorney? – Firm Transitions Podcast
The always informative and helpful financial services litigation attorney, Scott Matasar, sat down with me to discuss best practices for financial advisors facing unexpected termination from their firm.
We cover how to prepare yourself with the proper documentation, having backup firm options in mind, and when to involve an attorney to negotiate your Form U5 and navigate any regulatory investigations. This is a must listen to help you save precious time and stress with insights to help you understand compliance complaints and your legal rights.
#FATransition #CoreyWalen #financialadvisor #lawyer
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Apple Podcast: https://podcasts.apple.com/us/podcast/firm-transitions-with-corey-walen/id1672117664
Spotify Podcast: https://open.spotify.com/show/278IpmwyIWbyGoos4InCOV?si=3146e811274d4fd5
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Contact & connect with me:
Call or Text: (908) 902 4903
Meet: https://calendly.com/coreywalen
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Website: https://www.coreywalen.com
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