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

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