Is it Legal?

No replies
Indy8's picture
Joined: 2010-07-13

I just changed B/D from one Indy firm to another Indy firm.  The previous indy firm is withholding my commissions for at least 30 days & sent me an Advisor Agreement form that they typed in my name, which I had never seen nor signed, no one at the firm signed it also.  It states that I must returned all of their firm's paperwork (client account firms, etc...) to them.  This is totally BS, since they have all the paperwork I've sent to them to set up accounts & approved already.  I think this is their way to stonewalling me.  Is this legal for them to do?  & Do I still have to give them all my files of MY clients?


Please or Register to post comments.

Industry Newsletters
Investment Category Sponsor Links
Practice Management Category Sponsor Links

Sponsored Introduction Continue on to (or wait seconds) ×