• The Broker Protocol

    The Broker Protocol

    Recruiting and Trade Secrets Law in the Financial Industry

    View The Broker Directory

  • Join The Protocol

    Join The Protocol

    The Protocol for Broker Recruiting is maintained at Bressler, Amery & Ross at: Broker Protocol . You may look there for information on joining. Carlile Patchen & Murphy represents financial firms who wish to join and who also may have questions regarding the operation of the agreement and the recruiting of financial professionals from other Protocol firms. We charge a flat fee of $500.00 for that service. We also have extensive experience in Securities Regulation and Litigation http://www.cpmlaw.com/Practices/securities_law.aspx.

About The Firm

Carlile Patchen & Murphy LLP’s Securities Litigation Practice Group has 25 years experience representing the securities industry and its employees in disputes involving employment agreements, restrictive covenants, unfair competition and trade secrets.

About The Firm

CPM Law

Carlile Patchen & Murphy has served Ohio businesses and the people who own and operate them since 1967. We provide responsive client service and put our clients’ interests first. Clients are never just a file at CPM. They are valued, important, and appreciated. We offer a host of legal services for businesses, from entity formation and ownership interests to financing, tax planning, and operations. We can also assist business owners in the transfer of their business to their employees or a third party.

AS BIG FIRMS EXIT BROKER PACT, INVESTORS ARE UNEASY

When a financial adviser leaves a firm, clients often get caught in the middle of what amounts to a messy divorce. A squabble now playing out in the wealth management industry suggests that many of those splits could get messier.

Financial advisers act as shepherds for their clients, guiding them to sound investments. As the individual relationships grow, trust builds. If an adviser moves from one firm to another, clients typically follow.

For years, wealth management firms agreed not to stand in the way of such broker recruitment, putting client needs ahead of their own. But now, some firms are balking at letting clients go, and are threatening legal action to make them stay put. At the root of the fight is money, billions of dollars in client fees that wealth management firms reap every year.

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Meet the people behind The Broker Protocol

  • Dennis Concilla heads the Securities Practice Group

    Dennis Concilla practices securities law at Carlile Patchen & Murphy LLP, where he heads the firm's Securities Litigation and Regulation Practice Group. His focus is in the area of securities industry employment arbitration and regulation. Dennis joined CPM in April, 1985. He has been listed in Best Lawyers in America® for several years and The Securities Law Practice Group recently received a top tier ranking from Best Lawyers in America®.

    Read more about Dennis Concilla. | Here are articles written by Dennis.

  • Dennis Concilla heads the Securities Practice Group

Contact Us

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Downtown:
366 East Broad Street,
Columbus, OH 43215

North:
535 Metro Place South, Suite 200
Dublin, OH 43017

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Downtown:
Phone: 614.228.6135 | Fax: 614.221.0216

North:
Phone: 614.846.2000 | Fax: 614.846.2003

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