The road to independence can be exhilarating enough without unnecessary risk. We help start-ups and breakaway brokers confidently navigate a host of complex issues, from business and commercial to employment transition to securities regulations. We allow them to focus on what matters most – building a successful business aligned with their vision and values; so they are left to tend to their client relationships and managing assets.
Employment Transitions
- Exit Strategies
- Employment Contracts
- Restrictive Covenants
- TROs and Injunctions
Corporate Counsel
- Entity Formation, Organization, and Structuring
- Governance
- Contractual Relations
- Employment Relations
- Succession Planning and Transition Strategies
Business Transactions
- Business Combinations and Reorganizations
- Mergers and Acquisitions
- Financing
- Real Estate
Intellectual Property
- Trademark Registration
- Trademark Monitoring
- Dispute Resolution
Investment Advisor and Broker-Dealer Compliance
- Registration and Regulatory Filings
- Client Agreements
- ERISA and Fiduciary Responsibilities
- Service Provider Contracts
- Policies and Procedures
- Regulatory Examinations