Services for Individuals Employed in the Securities and Financial Services Industry
- Negotiation and Preparation of Employment and Benefits Agreements
- Transition Counseling, Exit Strategies and Separation Agreements
- Creation of New Business Entities and Registration of New RIAs
- Licensing, Registration and Qualifications Issues
- Firm Internal Compliance Issues
- Termination issues with RIAs and BDs
- Promissory Note Issues
- Regulatory Inquiries and Enforcement Matters with the SEC, FINRA, States, CFP Board
- On the record interviews (OTRs), preparation and subpoena responses