Brokers In Transition

Posts

Showing posts with the label FINRA

Theme images by Bim

Attorney Adverstising - informational purposes only, not intended as legal or financial advice

Law Offices of Brent A. Burns, LLC: Brent Burns represents financial advisors and investors. Mr. Burns has extensive experience representing both employers and employees regarding recruiting practices, transitions and litigation, specifically: Protocol for Broker Recruiting and Non Protocol transitions; negotiating or reviewing employment contracts including non-competition/non-solicitation agreements; promissory notes; obtaining temporary restraining orders; expedited FINRA arbitrations; "negotiating" U5 language; and expungements. Mr. Burns has performed internal investigations of several stock loan departments, and has represented those firms and their current and former employees in FINRA Regulatory, FINRA Enforcement Division and SEC investigations. Mr. Burns has also represented traders, brokers and senior managers regarding bonus disputes, severance packages, and forfeiture-for competition clauses for unvested stock.