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Non-Solicitation Agreements › Restrictive Covenants › Investment Adviser

Bradley Arant Boult Cummings LLP

Fourth Circuit Narrows Broker Protocol “Raiding” Exception, Enforces Employment Agreements in Wealth Management Dispute

Bradley Arant Boult Cummings LLP on

On August 12, 2025, the U.S. Court of Appeals for the Fourth Circuit issued its decision in Salomon & Ludwin, LLC v. Winters, a significant case at the intersection of financial advisor mobility, the Broker Protocol, and...more

Dorsey & Whitney LLP

A Matter of Protocol - Rules for Departing Brokers Trying to Solicit Former Clients

Dorsey & Whitney LLP on

Question: We operate a financial services firm that employs account executives who execute investment trades on behalf of clients. One of our brokers recently resigned to move to a competitor firm. ...more

Bennett Jones LLP

Departing Investment Advisors: An Update Since the Supreme Court's Decision in RBC v. Merrill Lynch

Bennett Jones LLP on

The Departure of an Investment Advisor - The departure of an investment advisor (IA) raises a number of serious and often conflicting considerations. For the IA, a departure could mean uncertainty in terms of earning a...more

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