We took a brief moment to discuss the single biggest mistake that large teams make (legally speaking) during a transition to a new firm. Without giving away the good stuff, Brian Neville (industry-leading securities attorney who’s handled hundreds of team transitions), was crystal clear as to what the biggest pitfall was and is.
Not only does Brian designate the focal issue, but he goes several steps beyond the surface issue to give listeners an understanding of how to avoid the trap firms think they’ve set for you. Give it a listen, it’s short and to the point, we know your time is limited.
If you’d like to speak with Andrew Parish or Brian Neville, fill out the form below and we’ll reach out to book a phone call.
Brian J. Neville, a founding partner of Lax & Neville LLP, has significant experience in broker/dealer, securities, regulatory defense, employment, and commercial litigation in arbitration forums and state and federal courts. He has arbitrated cases in at least 18 states and has been lead counsel on well over 500 matters.
Mr. Neville has successfully represented investors and broker-dealers in disputes involving sales practice issues and employment disputes. Mr. Neville also represents firms and registered representatives in enforcement actions by Financial Industry Regulatory Authority, Inc. (“FINRA”) (formerly the NASD and NYSE) and the Securities and Exchange Commission (“SEC”). On behalf of investors, he has recovered in excess of $50 million. On behalf of his defense clients, which tend to be individual registered representatives, management of broker-dealers or smaller/regional brokerage firms, he has successfully defended and resolved numerous cases.
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