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Summary: Brokerage firms may be monitoring their brokers' investment accounts for signs that a broker is about to jump ship. Firms have long monitored brokers' personal trading accounts for signs of suspicious trading activity. But certain behaviors — such as large withdrawals, moving assets into the accounts owned by family members or suddenly liquidating shares in proprietary products — may also suggest that a broker is planning to switch to another firm.
 It's certainly something that brokers who are planning a transition have to be cognizant of. If it falls into the broader basket of anything out of the ordinary it could throw up a red flag".
Sharron Ash, chief litigation counsel, Hamburger Law firm.
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