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 Quoted in Texas Sports Nation Article Regarding Breach of Contract Lawsuit Filed by Ex-Astros GM Jeff Luhnow Against the Astros Ballclub
READ MORE
Physician Non-Compete Agreements Under Texas Law: Restrictions on Physicians
READ MORE
Texas Payday Law: The Final Paycheck
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
Executive Change of Control Provisions
READ MORE
Dec. 2, 2020: Rogge Dunn to Speak in Live CLE Webinar on Commercial Disputes and the COVID-19 Pandemic
READ MORE
To Compete or Not to Compete: Enforceability of Non-Compete Agreements in Texas
READ MORE
Rogge Dunn Weighs in on Whataburger Discrimination Complaint on Fox 4 News
READ MORE
Employee Rights in Texas
READ MORE
Rogge Dunn Group, PC Receives “2020 Texas Legal Awards Litigation Department of the Year – Small Firm” Award by Texas Lawyer
READ MORE
The Role of the Plaintiff’s Employment Lawyer Before a Lawsuit
READ MORE
The Texas Lawbook Interviews Rogge Dunn on Wage and Hour Litigation Increases
READ MORE
Dec. 1, 2020: 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 Group Attorneys Nationally Recognized in Best Lawyers in America 2021 Edition
READ MORE
The Real Estate Investor Guide to Finder’s Fees – Insight from a Real Estate Lawyer
READ MORE
COVID-19 Continues to Create Employment Issues
READ MORE

Contact Us Today!

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

FILL OUT FORM