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An Advisors Worst Nightmare: Navigating Termination – with Scott Matasar (034)
The ALWAYS informative, Scott Matasar, financial services litigation attorney, joins me to discuss best practices for financial advisors facing unexpected termination from their firm.
We cover how to prepare yourself with the proper documentation, having backup firm options in mind, and when to involve an attorney to negotiate your Form U5 and navigate any regulatory investigations. This is a must listen to help you save precious time and stress with insights to help you understand compliance complaints and your legal rights.
--
Contact & connect with me:
Text or Call: (908) 902 4903
Meet: https://calendly.com/coreywalen
LinkedIn: https://www.linkedin.com/in/corey-walen-22a76325/
YouTube: https://www.youtube.com/@CoreyWalen
Website: https://www.coreywalen.com
Thanks for listening!
Corey Walen, Managing Partner, Bridgemark Strategies
Scott's details:
Website
View all episodes
By Corey Walen
5
99 ratings
The ALWAYS informative, Scott Matasar, financial services litigation attorney, joins me to discuss best practices for financial advisors facing unexpected termination from their firm.
We cover how to prepare yourself with the proper documentation, having backup firm options in mind, and when to involve an attorney to negotiate your Form U5 and navigate any regulatory investigations. This is a must listen to help you save precious time and stress with insights to help you understand compliance complaints and your legal rights.
--
Contact & connect with me:
Text or Call: (908) 902 4903
Meet: https://calendly.com/coreywalen
LinkedIn: https://www.linkedin.com/in/corey-walen-22a76325/
YouTube: https://www.youtube.com/@CoreyWalen
Website: https://www.coreywalen.com
Thanks for listening!
Corey Walen, Managing Partner, Bridgemark Strategies
Scott's details:
Website
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