Broker Transitions/Contracts

When any registered individual, whether it be a retail producer, investment banker, research analyst or management executive decides to seek a change of employment there are many reasons to retain experienced counsel. The potential problems are many and our firm has the experience to guide you through the process.

We work with many well regarded recruiters/head hunters; however we have no conflicts among the larger firms or wire houses. In fact, we are fiercely independent of all these firms. We have negotiated contracts on behalf of employees going to virtually all large firms nationwide and are aware of the contract terms that are generally negotiable and those that are not.

In addition, for retail producers we are extremely experienced with the broker Protocol and can counsel you through a Protocol transition.

In addition to new firm contracts we can assist producers in their review of existing agreements and counsel them through the recruiting process. We have particular experience in employment law matters in the financial services and broker dealer sector, including employment agreements with restrictive covenants (non-competes), confidentiality agreements, corporate policies on trade secrets, intellectual property and proprietary business information. This should be an important factor in selecting a lawyer in this regard because there are many issues that are unique to the these areas because they are highly regulated by both governmental and self regulatory bodies.