Don’t wait for the storm to build a boat

Often there are signs in advance that a brokerage firm is thinking about making some big changes. As Cathy Nichols points out in the piece below, financial advisors at firms showing signs of impending upheaval can take the time to evaluate whether they want to stay. Rumors give you the opportunity to get a head start.

Take this opportunity to evaluate whether you want to stay or explore other firms — before the storm hits.

When did Noah build the ark? Before the rain. – Nathan Muir (Robert Redford) in Spy Game.

Check out the full posting below and be prepared. Thanks to Diamond Consultants for placing this guest post on their blog.

A Running Head Start: What to do when the handwriting is on the wall


Lisa Bragança represents financial advisors and others in government investigations and disputes with brokers, protects whistleblowers, and recovers losses for investors all over the country. Lisa served as a Branch Chief with the SEC Division of Enforcement Chicago office where she investigated a wide range of investment fraud and Wall Street misconduct.

You can reach Lisa at (847) 906-3460 or You can follow Lisa on Twitter @LisaBraganca.

Disclaimer: This information is for general purposes only and should not be interpreted to indicate a certain result will occur in your specific legal situation. The information on this website is not legal advice and does not create an attorney-client relationship.