Smooth Move (Registered Rep) - FAs need to be prepared in case they get hit with lawsuits seeking to prevent them from soliciting their clients or seeking damages for alleged breach of duties. Below are some important legal questions to consider before making a move.

Five Top Financial-Planning Questions and Answers (Morningstar)

HighTower broker sued for selling investments tied to Ponzi scheme (Investment News)

Finra boots star adviser from securities biz (Investment News) - Rhonda Breard, Washington state adviser – and local celebrity – accused of stealing $8M from clients