How to Avoid TROs When Breaking Away: Legal Strategies Advisors Need to Know
Автор: Diamond Consultants - Financial Advisor Recruiters
Загружено: 2025-10-30
Просмотров: 113
Описание:
TROs (temporary restraining orders) are making headlines again—and advisors planning a move should take note. Louis Diamond speaks with attorneys Jarrod Malone and Michael Bressan of Shumaker, who’ve represented thousands of transitioning advisors, including the high-profile OpenArc vs. Merrill case.
In this episode, they break down:
✅ Why TRO filings are on the rise—and which firms are the most aggressive
✅ The biggest legal mistakes advisors make when leaving a firm
✅ How to protect client relationships and move with confidence
✅ Lessons from the OpenArc case that every breakaway should know
If you’re planning a transition, this legal playbook is essential listening.
#FinancialAdvisors #LegalTips #BreakawayAdvisor #LouisDiamond #WealthManagement #TRO #AdvisorTransition
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