financial advisors transition

Rogge Dunn Interviewed About Common Mistakes Made During the Transition From Oldco to Newco

Rogge Dunn was interviewed at the 2018 AdvisorHub Summit about common mistakes that financial teams make when transitioning from Oldco to Newco.

In the interview, Dunn states that the first mistake many teams make when transitioning to a new company is failing to do it in a professional manner. Dunn emphasized that despite the measures a team’s current company may or may not have in place, “the protocol [for leaving], whether they go from one protocol firm to another, you still need to leave the right way.”

It is also important for a team consider their plan of action for the transition. Additional copies of documents such as: an existing non-compete agreement, offer letter, any existing arbitration agreement, and the current contract should be gathered and reviewed prior to making the transition. The team should also ensure that each action is taken for the benefit of their clients.

For more insight on how teams can avoid common mistakes during firm transitions, view the video below.

Rogge Dunn has years of experience serving as a lawyer for financial advisors. If your team is looking for additional support during the transition period, you have come to the right law firm. Contact our firm today about a consultation concerning team transitioning.

MEDIA

Rogge Dunn Interviewed by CBS 11 News on Reopening Texas
READ MORE
Mar. 25, 2021: Rogge Dunn to Speak in Live Webcast on Commercial Litigation Trends, Updates, and Challenges Amidst the COVID-19 Pandemic
READ MORE
Chase Potter Named to 2021 Best Lawyers Under 40 by D Magazine and Secures Multi-Million Dollar Zoom Verdict
READ MORE
Jan. 26, 2021: Rogge Dunn to Speak in LIVE CLE Webcast on Demystifying the Current Landscape of Broker-Dealers Amidst the COVID-19 Pandemic
READ MORE
Rogge Dunn Quoted in CNBC Article Regarding Covid Vaccine Side Effects and Compensation Lawsuits
READ MORE
Jan. 15, 2021: Rogge Dunn to Speak at the Texas Bar’s 29th Annual Advanced Employment Law Seminar on How to Win an Employment Case at Trial
READ MORE
Jan. 13, 2021: Rogge Dunn and Greg McAllister to Speak in Live Webcast on Obtaining a TRO Against Former Employees
READ MORE
Insight From an Executive Contract Attorney: How to Get the Most Out of an Executive Employment Contract
READ MORE
Rogge Dunn Answers Questions in D Magazine Article About the COVID-19 Vaccine in the Workplace
READ MORE
Obtaining a TRO Against a Former Employee: Texas Lawyer Publishes Article Written by Rogge Dunn and Greg McAllister
READ MORE
Rogge Dunn Quoted in CBS 11 News Article Regarding Employer Control over Holiday Travel Plans
READ MORE
Rogge Dunn Quoted in Reuters Article About Employer Options for COVID-19 Vaccine Policies
READ MORE
Rogge Dunn Gives Insight on CNBC Article Regarding Covid Vaccine Labor Laws
READ MORE
Negotiating a Severance Agreement: How Can a Severance Negotiation Lawyer Help?
READ MORE
Rogge Dunn Quoted in CBS 11 Article on Labor Laws Surrounding COVID-19 Vaccine
READ MORE
COVID-19 and Employment Discrimination of Older Employees
READ MORE

Contact Us Today!

Contact us to learn how we can help answer your legal questions.

FILL OUT FORM