Michael Bressan

Partner at Shumaker who specializes in advisor transitions, FINRA arbitration, and RIA development work, drawing on a background in finance and dispute resolution.

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Oct 30, 2025 • 47min

How to Avoid the Dreaded TRO: Legal Strategies for Advisors in Transition

Jarrod Malone and Michael Bressan, partners at Shumaker, are experts in advisor transitions and legal disputes. They discuss the rising trend of Temporary Restraining Orders (TROs) against departing advisors, highlighting the importance of legal guidance in minimizing risks. They explain how wirehouses like Merrill identify targets for TROs and share best practices to protect against litigation. Notable cases and common advisor mistakes are also explored, underscoring the significance of careful planning and compliance during transitions.

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