Legal Question in Securities Law in New Jersey

Securities

I am a financial planner and registered securities principal who was affiliated with a Securities Firm in New Jersey. I resigned from that firm and moved to another firm in October. The firm strongly warned me about continuing to use their name in any of my activities, which I did not. However, I discovered that my picture and biography still appeared on their website, and when I told them, they removed in the first week of December, 6 weeks after I had moved my licenses. I discovered yesterday that the firm was giving out recruiting packets at a trade show that contains newly created brochures that still contain my picture. In addition to the implications in terms of securities laws (showing an affilition with a firm where I am not licensed), there are issues about the frm using my image/information in their commercial advertising without my consent. My consent only extended to the use of my information while I was licensed with them. I am puzzled that their strong warning about not using their name in my activities does not go the other way. Any help would be appreciated, as I am not sure what area of law this falls under, securities or advertising law.


Asked on 12/11/07, 10:32 am

1 Answer from Attorneys
Jef Henninger, Esq Law Offices of Jef Henninger, Esq.

Re: Securities

I'm not sure what you are looking to do. I don't see how you can sue them to get any money. If you are worried about the SEC, you could just send them a letter and explain the situation.

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Answered on 12/11/07, 1:06 pm


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