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AdvisorEsq

Practicing attorney Matt Baum, Esq. discusses legal issues affecting financial advisors, broker-dealers, and investment advisers in down-to-earth way. Matt is a Partner at Ellenoff Grossman & Schole LLP, a law firm located in NYC with more than 125 attorneys. ATTORNEY ADVERTISING. PAST RESULTS DO NOT GUARANTEE FUTURE OUTCOMES. NONE OF THE CONTENT IN THIS PODCAST SHALL BE CONSTRUED AS LEGAL ADVICE NOR DOES IT CREATE AN ATTORNEY/CLIENT RELATIONSHIP. THE INFORMATION PRESENTED ON THIS PODCAST IS FOR GENERAL INFORMATIONAL PURPOSES ONLY AND SHOULD NOT BE RELIED ON FOR ANY PURPOSE. THE OPINIONS CONTAINED IN THE PODCAST ARE NEITHER ENDORSED NOR OFFERED BY ELLENOFF GROSSMAN & SCHOLE LLP. © 2022-2023 AdvisorEsq LLC. All rights reserved.

info_outline Ep. 7 - “Cross-Examination” of Marc Cohen, Executive VP of LPL Financial (Part 2) 05/17/2023
info_outline Ep. 6 - "Cross-Examination" of Marc Cohen, Executive VP of LPL Financial (Part 1) 04/18/2023
info_outline Ep. 5 - "Cross-Examination" of Advisor Recruiter, Louis Diamond of Diamond Consultants (Part 2) 01/19/2023
info_outline Ep. 4 - "Cross-Examination" of Advisor Recruiter Louis Diamond, President of Diamond Consultants (Part 1) 12/21/2022
info_outline Ep. 3 - Trick Question: Who Owns the Client Data, the Firm or the Advisor? 11/22/2022
info_outline Ep. 2 - Spoiler Alert: You're Getting (Another) 8210 Request 11/01/2022
info_outline Ep. 1 - Hot Take: FINRA's First Reg BI Enforcement Settlement 10/18/2022
 
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