Our Services

Our attorneys regularly counsel brokers and investment advisory firms in employment transitions, practice mergers and acquisitions, as well as defend brokers in forgivable loan (promissory note) collection actions, TRO actions (court injunctions) and arbitrations that result from a employment transitions.


Our attorneys provide the full range of legal services from entity formation, organization and structure to the preparation buy/sell, merger, acquisition, divestiture, joint venture, or partnership transaction. Our attorneys also provide the full range of general corporate services ranging from contracts to employment issues.


For transitioning advisers reflects our commitment to provide the highest quality legal services in the most efficient manner. We:

  • Plan in advance all aspects of a successful transition to minimize risk;
  • Are “on call” for difficulties that may arise during the transition to the new firm;
  • Determine your rights and responsibilities under your current employment agreement as to customer solicitation, non-competition and document retention, as well as the Protocol (if applicable);
  • Research and advise on state law issues; and
  • Suggest proposed language and disclosures on your Form U-5 (termination notice) to be filed by your existing firm.


In addition to our transition services, our attorneys also provide the following services to brokers and financial advisors:

  • Litigate or arbitrate employment matters, including non-solicitation issues, U-5 defamation, discrimination, and wage and hour violations;
  • Negotiate and represent advisers relating to claims for compensation and benefits (such as deferred compensation);
  • Defend advisers against customer arbitration claims and regulatory actions;
  • FINRA suspension hearing defense and post arbitration award proceedings and appeals;
  • CFP Board enforcement and disciplinary defense;
  • Provide investment adviser regulation and compliance services, including preparing or customizing written policies and procedures, reviewing marketing and advertising materials, managing conflicts of interest and complying with recordkeeping requirements;
  • Provide advisers with a comprehensive range of hedge fund services, including hedge fund formation, securities offering and regulatory matters, as well as ongoing hedge fund compliance and maintenance services;
  • Provide an investment adviser annual review (audit) of policies and procedures, interviews with key personnel and attorney-client privileged findings;
  • Represent investment advisers during SEC and state regulatory examinations and enforcement proceedings and assist in drafting responses to the SEC challenging alleged examination deficiencies; and,