Enforceability of Non-Compete Provisions in the Financial Services Industry: Fiduciary Duty Impact
Introduction Non-compete provisions are common in the financial services industry, often included in employment agreements to protect a...
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Financial Services Industry Experts
FINRA and SEC Compliance
Broker and Advisor Transitions
Customer Claims
FINRA Arbitrations
Securities Litigation
At Abell Law, we offer more than just professional legal representation. As experts in securities law and the financial services industry, we are dedicated to understanding and addressing your unique professional goals, opportunities, issues, and challenges. A significant portion of our practice is devoted to advising brokers and advisors during transitions to new firms or as they embark on independent ventures. In addition, we represent customers with claims to ensure their interests are protected. Our tailored transition guidance is specifically designed to help you create a customized program that maximizes your value while effectively managing potential business risks. With Abell Law by your side, you gain a knowledgeable partner committed to your success in the ever-evolving financial services landscape, both for professionals and their clients.
TRANSITION - DO IT THE RIGHT WAY
The Right Choice
At Abell Law, our primary focus is on supporting brokers and advisors in the financial services industry as they navigate transitions between firms or establish themselves as independent RIAs. We are dedicated to helping you fully leverage your skills by providing expert guidance throughout the entire transition process. Recognizing that each situation is unique and subject to rapidly changing conditions, we place the utmost importance on delivering personalized attention to every client. Our approach is always accessible, consistent, patient, and professional. We work hand-in-hand with you to ensure that you make the most informed business decisions as you transition to a new firm or establish your own practice.
ABOUT US
DAVID ABELL, ESQ.
Managing Attorney
Throughout his 28-year law career, David has dedicated himself to the securities industry, amassing a wealth of experience in various aspects of the field. His accomplishments include closing municipal securities issuances, multi-billion dollar corporate securities transactions, and both registered and exempt issuances. He has also represented brokers and advisors in breakaway transitions and FINRA arbitrations, while serving as counsel to private equity and venture capital clients. In his own ventures, David has successfully raised over $100 million in funding.
David began his career as a member of the corporate and securities department at Locke Lord LLP's Dallas office. He later joined Texas Instruments Incorporated, serving as the corporate governance and securities counsel at their Dallas headquarters.
Like many of his current clients, David is an entrepreneur with a passion for innovation. He has founded several companies, including BreakSafe, which specializes in rapidly rebuilding books for transitioning brokers and advisors, and TriLumina, a company that develops semiconductor lasers for autonomous vehicles. David's firsthand experience in starting new businesses provides him with a unique understanding of the challenges faced by those who choose to "go it alone." He is also a co-inventor on five issued U.S. patents related to semiconductor laser technologies.
David graduated from SMU Dedman School of Law in Dallas in 1994 and holds a B.S. in biochemistry and business from Trinity University, earned in 1989.
SERVICES
Expertise. Intuition. Ingenuity.
COMPREHENSIVE ANALYSIS AND PLANNING
Transitions can be challenging and intricate, requiring careful planning and execution. At our firm, we collaborate closely with you to gain a thorough understanding of your obligations and develop a comprehensive exit strategy and transition program. Our primary goal is to ensure business continuity and maximize the value of your book. We specialize in both protocol and non-protocol transitions, tailoring our approach to your unique circumstances.
Our team is dedicated to providing you with the support and guidance you need throughout the entire process. We assist you in planning, preparing, and executing your resignation with precision and confidence. But our commitment to you doesn't end there. We continue to offer real-time guidance during the critical post-termination period, helping you navigate any unexpected challenges and ensuring a seamless transition.
By working with our experienced professionals, you can trust that your transition will be managed effectively, allowing you to focus on your future success and growth in the financial services industry.
INTRODUCTORY SESSION
We highly recommend that our clients reach out to us as early as possible in the transition process. If you have been terminated or fear that termination may be imminent, it is crucial to schedule an initial consultation with us promptly.
During this session, we will help you identify the essential employment documents and industry regulations that will play a crucial role in guiding your transition. We will carefully review your unique circumstances and provide insights on how they relate to the various solicitation, confidentiality, and trade secret concerns that may arise post-termination.
By engaging our services early in the transition process, you can ensure that you have the right strategy and support in place to navigate any challenges you may encounter. Our team is committed to providing you with the guidance and resources necessary to make your transition as smooth and successful as possible.
GET IN TOUCH
*All information displayed on the Abell Law website is informational and shall not be deemed as legal advice. If you’re currently dealing with an individual legal situation, you’re invited to contact us through email or by phone. Until an attorney-client relationship has been established, we urge that you avoid sharing any confidential information.
The information you provide below remains confidential.
PLEASE PROVIDE PERSONAL EMAIL AND PHONE INFORMATION.
505.886.2235
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