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When Does the Broker Protocol Supersede a Notice Provision in a Financial Adviser’s Employment Contract?

An enduring gray area in the Protocol for Broker Recruiting, dating back to 2004, has been whether and to what extent the Protocol preempts a notice provision of an adviser’s employment contract. In HA&W Capital Partners, LLC v. Bhandari, the Georgia Court of Appeals was tasked with deciding the Protocol’s impact on notice provisions contained within a moving adviser’s employment contract.

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