Similar Articles

Browse Main Topics:

Business
Computers & Electronics
Education & Reference
Entertainment & Leisure
Family & Home
Finance & Investment
Health
Internet
Pets & Animals
Science & Technology
Society, Politics & Culture
Sports & Recreation

Similar Articles

The Motley Fool November 15, 2006 Dan Caplinger	Flip Over FLPs: Part 1 When used correctly, a family limited partnership can enable you to make gifts to future generations more efficiently, while retaining substantial control over the investment and distribution of partnership assets.
Commercial Investment Real Estate Nov/Dec 2010 Cara Lowe	Business Breakups Preparation pays off when partnerships dissolve.
Global Services January 24, 2008	Negotiating Service Deals with Equity Services transactions with an equity component are complicated and are associated with a wide range of risks factors. However, they can create positive financial returns if structured carefully. Here are a few guidelines on how to structure such transaction agreements.
The Motley Fool June 29, 2006 Dan Caplinger	Starting a Small Business: Partnerships Establishing your business as a partnership offers flexibility but potential liability.
PHONE+ December 30, 2009 Liu & Crowe	Contracts: What Are the Basic Components of an Agent Agreement? A well-drafted agreement will define the rights and responsibilities of the parties involved, so as to minimize the risks that come from uncertainty and misunderstandings.
Registered Rep. October 31, 2008 French & Churchill	If Bank of America Signs Protocol, It's Business As Usual. If Not, Maybe Not But Merrill Lynch advisors may not know whether BofA will sign it before they have to sign their own retention agreements.
Commercial Investment Real Estate Sep/Oct 2010 Sing & Feigl	Prepare to Work Out A plan strengthens your position in contract renegotiations.
The Motley Fool June 27, 2006 Dan Caplinger	Protecting Your Small Business If your business partner moves on, make sure your business can still prosper.
Investment Advisor April 2007 Thomas D. Giachetti	First, Hold On to Your Clients Before selling your investment advisory firm, make sure restrictive covenants are in place.
Financial Advisor March 2005 David L. Lawrence	Merging Options Five steps may help you avoid pitfalls and make your financial advisory practice merger a success.
Financial Planning June 1, 2011 Martin Shenkman	Filed Away Every advisor knows to ask a potential client whether he or she has a will, a living trust or an insurance trust. But if an advisor wants a thorough picture of a prospective client's estate plan, the line of inquiry has to be broader.
Commercial Investment Real Estate Jan/Feb 2008 Laine T. Wagenseller	The Write Stuff When partnerships sell commercial property, industry professionals must secure the written authorization of all the partners or co-owners on both listing and purchase agreements to ensure that contracts are legally binding.
Registered Rep. October 14, 2010 Kristen French	Merrill Brokers Had "Good Reason" To Leave, And Got $1.2 ml For It Two former Merrill brokers won $1.167 million in an arbitration award from Merrill Lynch for deferred compensation benefits
Bank Systems & Technology September 17, 2008 Katherine Burger	False A global partnership agreement simplifies SWIFTNet implementation for customers using Microsoft technology.
Registered Rep. December 1, 2004 Mindy Diamond	Packing the Parachute Success in the brokerage industry can be as much about mindset as anything else, so it comes as little surprise that advisors avoid negative thoughts, such as the potential necessity of a quick exit from their practice.
PHONE+ February 17, 2010 Neil S. Ende	The Danger of Termination Clauses in Agent Agreements Most carrier agency agreements have been unclear at best and one-sided and oppressive at worst.
Investment Advisor June 2007 Thomas D. Giachetti	Look Before Leaping For financial advisors, there are many issues to be reviewed before making a decision to leave your current employer. Experienced counsel should be consulted. Every case has similarities, and every case has differences.
Registered Rep. January 1, 2003 Nicholas Ferber	Switching Has Changed During trying times like these, many reps are looking to switch jobs. When pondering a move, no question occupies more time or discussion between brokers, hiring managers and (sometimes) recruiters than the following: "What's in it for me?"
Entrepreneur April 2008 Guy Kawasaki	Tying the Knot Partnering is an art, so make sure everyone sees eye to eye with these 8 tips.
Commercial Investment Real Estate May/Jun 2012 Sing & Feigl	Letters of Intent No one wants to waste time and money on a deal that the parties will never complete. A well-drafted, nonbinding letter of intent can be a valuable first step in determining whether there is a deal to be made before too much expense has been incurred.
Registered Rep. June 24, 2011 Ed Mason	Acquiring a B/D? Use This Checklist. Attention early in the process to the unique regulatory concerns impacting broker/dealer M&A will increase the probability of parties successfully navigating a path to closing and, ultimately, a successful acquisition.
Commercial Investment Real Estate Jul/Aug 2003 John Mangham	Partnerships Can Use These Methods to Protect 1031 Gains Property owners wishing to dispose of appreciated assets often use Internal Revenue Code Section 1031 exchanges to defer capital gains taxes. However, partnerships wishing to execute exchanges face unique challenges, particularly when individuals in the partnership have diverging investment goals or want to cash out.
Commercial Investment Real Estate Sep/Oct 2015 Mike Newhouse	Splitting Fees It's agent vs. agent when it comes to commission disputes.
Financial Planning March 1, 2007 Tere D'Amato	Buy-Sell Review If your financial advisory clients are business owners, updating their buy-sell agreements should be a regular exercise.
Registered Rep. April 1, 2003 David A. Gaffen	Your Book or Your Life! What would you do if you lost your book? Where would you turn for new customers? Where could you be hired? Those are questions that keep many advisors up at night.
Investment Advisor August 2007 Thomas D. Giachetti	Internal Medicine Because of the "graying" of the industry, it is increasingly important for advisory firms to consider succession planning issues, whether via internal succession or an external acquisition or sale. Critical to any successful succession is having the appropriate underlying documents in place.
Registered Rep. January 1, 2003 Jonathan P. Arfa	Do-It-Yourself Arbitration When a rep is laid off or changes firms, there's often a disagreement about how much she is due for her final months of work.
Registered Rep. March 28, 2011 Kraus & Freedman	Got Protocol? Despite the large number of firms who are party to it, the broker protocol has certainly not stopped litigation with departing Registered Representatives.
Registered Rep. October 28, 2008	Merrill Retention Package Angers FAs With "TRO" Language Merrill Lynch financial advisors are worried about one paragraph in the retention contract they received last Friday, October 24 -- very worried. And it has to do with the so-called broker protocol agreement.
Registered Rep. October 1, 2002 Ross Tucker	Payback Time During the heady days of the bull market brokers found themselves lured to other firms by big upfront bonuses, in the form of forgivable loans. Unable to maintain prior production rates under worsening market conditions, many have lost their jobs and their clients. Now their firms want to collect on those loans.
Registered Rep. September 13, 2006 Halah Touryalai	Morgan Joins Inter-Brokerage TRO Pact This firm has officially opted to join the inter-brokerage pact, which stipulates that members will not sue brokers departing to other firms when they try to take their clients with them -- as long as they are moving to another firm named in the pact.
On Wall Street December 1, 2009 Mark Astarita	Brokers as Fiduciaries -- Much Ado About Nothing There is a battle cry to place a fiduciary obligation on retail brokers. But the real question is: What difference will it really make?
Registered Rep. January 1, 2005 Mindy Diamond	A Clean Escape, With an Accomplice Brokers tempted to leap at a lucrative job at another firm are often held back by inertia, but in increasing numbers they are finding the powerful force they need to get moving: hungry branch managers.
Financial Advisor May 2011 Daniel Bernstein	The Goldilocks Dilemma The greatest problem with client agreements today is the shortcut approach too many advisors take.
The Motley Fool November 15, 2006 Dan Caplinger	Flip Over FLPs: Part 3 A family limited partnership can help you make gifts that can reduce your estate tax liability while also preventing your children and other recipients from gaining access to large amounts of cash. Although it's spelled "FLP," be sure to cross those t's and dot those i's.
Registered Rep. December 11, 2002 Rick Weinberg	PaineWebber Cuts Bonuses, Expense Accounts Brokers at UBS PaineWebber received a double hit of bad news this week in this tough time for brokerages. Not only were they informed that the bonuses they receive for bringing in new assets were being cut, but expense accounts are being trimmed as well.
Commercial Investment Real Estate Jan/Feb 2011 Andrew Maguire	Deposit Disputes How can transaction parties avoid earnest money conflicts?
InternetNews October 29, 2009	Yahoo, Microsoft Still Negotiating on Search Deal It's taking longer than expected for the two search giants to come to an agreement.
Registered Rep. January 1, 2006	Who Gets the Book? Q: I had an oral contract with my partner that I would inherit his $40 million book when he retired... Please advise me as to my rights... A: At the outset, my advice is that you have viable claims against your firm for breach of contract, detrimental reliance and unfair business practices... etc.
Registered Rep. May 1, 2005 Mindy Diamond	What About Your Retirement? Brokers often take a shortsighted view of their careers, and this usually turns an effort to convince them to think about their own retirements into an uphill battle.
On Wall Street September 1, 2010 Mark Astarita	Denying Advisors A Legal Forum As part of the Dodd-Frank Wall Street Reform Act, Congress has given the SEC the authority to prohibit or impose conditions upon the use of pre-dispute arbitration agreements by brokerage firms and federally registered investment advisors.
InternetNews June 11, 2009 Sean Michael Kerner	Microsoft and Novell Still Bosom Buddies Can Linux and Windows really get along?
Investment Advisor January 1, 2011 Mark Tibergien	The Day You Call It A Day The majority of advisors who wish to retire in three years are no more prepared for their exit from the business than those who plan to retire in 10 years.
Inc. November 2004 Dimitra Kessenides	Happy Together Many business partnerships end in disaster. Yours doesn't have to. It's better to plan ahead. Here's how you can forge a better match.
Registered Rep. February 26, 2010 Christina Mucciolo	Some Predict Broker Protocol Overhaul Some lawyers and executives anticipate an overhaul to the broker protocol agreement, which has gotten unruly with the growing number of signatory firms, the rising number of exceptions attached to the agreement and the high rate of advisors switching firms these days.
Registered Rep. January 1, 2003 Will Leitch	Not Going Gently Into that Goodknight The day after his retirement in December, Edward Jones broker Jim Goodknight, 60, headed to the lake by his home in Joplin, Mo., to spend some well-deserved time fishing. Seeing him, it would be easy to forget that the unassuming Goodknight changed the way Edward Jones does business.
Registered Rep. October 1, 2006 Halah Touryalai	Morgan Joins TRO Pact Morgan Stanley has officially opted to join the inter-brokerage pact, first created in the fall of 2004, which stipulates that members will not sue brokers departing to other firms when they try to take their clients with them.
Registered Rep. October 12, 2015 Gary Martino	Six Key Components of Affiliation Agreements Of the litany of contractual terms every new agreement covers, here are the top half dozen I've identified as causing most reps to divorce their existing IBD relationship.
Entrepreneur March 2006 Marc Diener	Two's Company Before you start negotiating a business partnership, take these three key steps.
Registered Rep. October 1, 2002 Roy M. Adams	An Estate Planning Disaster Averted Family limited partnerships and limited liability companies are useful estate planning tools. The verdict in the Hackl case showed that the gift tax exclusion may not apply to gifts of partnership units or LLC interests if things are not structured carefully.