Broker-Dealer Transition Assistance, Contract Negotiation, and Litigation

Advisors and brokers often transition between broker-dealer firms. When this happens, broker-dealers could find themselves facing a challenging and stressful period unless they have the necessary professional guidance. Broker-dealer firm transitions may require large sums of capital to be transferred from the previous broker-dealer to the new one, a process that requires a highly skilled and seasoned legal professional to prepare and execute the proper documents.

Not only can our attorneys help make this transition smooth for you, but we can also litigate any employment or independent contractor disputes that may come up during the process.

For example, our legal team can help with employment and partnership disputes, promissory note disputes, defamation accusations, as well as restrictive covenants such as non-compete, non-solicitation, and non-disparagement agreements. If necessary, we will seek emergency orders from a court to prevent these restrictive covenants from being breached.