"Tips to Avoid Getting Sued When You're an Advisor Jumping Ship," Financial Advisor IQ
In an interview published Wednesday, February 21 in Financial Advisor IQ, Tom Potter expands on the details surrounding Finra's opposition to Patrick Dwyer's motion to confirm an arbitration award involving the expungement of his customer complaints from his records, which were brought before the Miami-Dade County circuit court. Potter weighs in on what it's like having clients on both sides in advisor movement disputes. He emphasizes that there are basic steps advisors can take to minimize the risk of being sued, detailing, "There is a better chance of avoiding a lawsuit when advisors seek attorney-client privileged advice early enough while still at the firm, for it becomes an exercise in preparing a defense when advisors have already left their old firms by the time they seek counsel."

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"Jumping Ship? How to Avoid Getting Sued," Barron's
In an interview published Wednesday, February 21 in Barron's, Tom Potter expands on the details surrounding Finra's opposition to Patrick Dwyer's motion to confirm an arbitration award involving the expungement of his customer complaints from his records, which were brought before the Miami-Dade County circuit court. Potter weighs in on Broker Protocol and the basic steps departing advisors should follow to avoid getting sued. While every situation is different, he emphasizes, "Advisors should review how they handle customer information, taking care not to print out or download or take any information home or send it to their personal accounts."

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