Published on:

Register Representatives in Transition Need to Hire Counsel

According to data tracked by InvestmentNews, a large number of registered representative teams have recently changed firms, and it is important for registered representatives to know that they should hire transition counsel to help them in their move. Our firm has acted as transition counsel for hundreds of registered representatives and is able to add value by negotiating a registered representative’s contract with his/her new firm, negotiating any outstanding promissory note balances, discussing potential Protocol issues, representing registered representatives in FINRA arbitrations and Temporary Restraining Orders, and ensuring that the transition is as smooth as possible. If you are a registered representative who is considering transitioning to a new firm, it is in your best interests to contact us in order to better understand the important services we can provide to you.