Transition Counsel for Registered Representatives

Transitioning employment in the financial services industry requires counsel that can evaluate any potential legal implications so you can properly manage risk and focus on transitioning your clients.  If ignored, these risks can turn a simple transition into contested litigation with significant consequences.

Our attorneys have counseled both financial services firms, registered representatives and other employees on hundreds of employment transition matters both as outside counsel and as in-house counsel with some of the world’s largest broker dealers.   We have significant experience advising on all aspects of the transition process, including:

Our firm’s goal is to ensure a smooth transition.  Please contact us for more information regarding how our firm can help with your transition.