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FINRA Warns Firms Not to Lie or “Obfuscate” When Clients Ask About a Departed Rep

When a registered representative (“Rep”) with a large book of customers voluntarily resigns from one firm to join another, the Rep’s old firm immediately assigns a replacement. Excited about the potential to keep the book, the replacement Rep frequently races to contact the customers and secure their business. And when some of those customers…

Business Torts

Business Torts Commercial disputes frequently entail more than contract claims; they involve allegations of business torts, such as fraud, conversion, breach of fiduciary duty, unfair competition and tortious interference with contract or business relationship. Whereas contract disputes may be limited to the terms of a specific agreement, business torts often attack a business’ ability to […]

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