Monthly Archives: January 2010

Non-Compete, Non-Solicit, and Confidential Information Agreements in the Securities Industry, PART ONE

PART ONE Control over client relationships has long been a battleground within the securities industry. Firms have increasingly sought to exercise control over any and all information regarding securities clients and their accounts. The utilization of restrictive employment agreements between

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Non-Compete, Non-Solicit, and Confidential Information Agreements in the Securities Industry, PART FIVE

PART FIVE Plan Ahead and Protect Your Interests Many investment professionals do not fully comprehend the dramatic impact that a restrictive covenant can have on their books of business and their careers. They often assume that because things seem great

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Non-Compete, Non-Solicit, and Confidential Information Agreements in the Securities Industry, PART FOUR

PART FOUR Enforcement of Restrictive Employment Provisions In conjunction with provisions regarding competition, solicitation, and confidentiality, most restrictive employment agreements will include language regarding the enforcement of those provisions. Specifically, most agreements state that a representative agrees that, in the

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Non-Compete, Non-Solicit, and Confidential Information Agreements in the Securities Industry, PART THREE

PART THREE Confidential or Proprietary Information Provisions Brokerage and advisory firms obtain and develop a large quantity of private and confidential information regarding their clients, products, compliance practices, and business methods. There is a great deal of regulation regarding the

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Non-Compete, Non-Solicit, and Confidential Information Agreements in the Securities Industry, PART TWO

PART TWO The key distinction between a non-competition provision and a non-solicitation provision is that a “non-solicit” attaches to specific customers or individuals. While there is also a time period during which the non-solicit is in effect, such a provision

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Nosocomial Infections a Real Problem

Who would have ever thought that when a person goes to hospital to get better, they may come home and die of an infection they got while they were in the hospital? Something entirely unrelated to why they were there

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VA Benefits & Medicaid

Before applying for Medicaid and VA Non-Service Pension Benefits, check to see if having both will act to disqualify getting Medicaid. “While it’s true that the VA Non-Service Pension Benefits does help with eldercare, which can be very costly these

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Big Rig Crashes Cause Big Problems

While big rig crashes are a reality we care not to think about too much, there are things car drivers may do to avoid potentially fatal crashes. In all instances where you have been in such a crash, contact a

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Exploiting the Elderly Is Wrong

Abuse of the elderly is unfortunately all too common in this day and age. There is nothing that sparks such outrage than stories in the media of seniors being financially, emotionally, mentally or physically abused. While it may be inevitable

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