Employment Agreements

An experienced lawyer can be a financial advisor’s greatest asset before, during and after moving to a new firm.  We can review your existing contracts and advise you regarding your new contracts, including:

  • Employment Agreements
  • Retention Packages and Severance Agreements
  • Deferred Compensation Agreements
  • Training Agreements
  • Promissory Notes
  • Bonus Agreements
  • Employee Forgivable Loans (EFLs)
  • Team/Joint Production Agreements
  • Non-Compete Agreements
  • Non-Disclosure Agreements
  • Confidentiality Agreements
  • Partnership Agreements
  • Stock Option and Stock Share Agreements

Reviewing Your Existing Contract

As a financial advisor, registered representative, securities broker or investment advisor, the agreement you signed with your current firm likely contains:

  • Non-competition clause/covenant not to compete
  • Non-solicitation of clients and firm employees
  • Nondisclosure of confidential information

Reviewing your contract with a qualified attorney before transitioning to a new firm can save you time and avoid costly litigation.

Negotiating a New Contract

We can negotiate and help you understand your new contract including:

  • Compensation (front-end and back-end bonus compensation, payout grid),
  • Team or Joint Production Issues
  • Staffing and Marketing Support
  • Titles and Branding Issues
  • Transition Support
  • Broker Supervision
  • Licensing Requirements
  • Restrictive Covenants
  • Promissory Note Payback

If you are considering leaving your current firm or simply have questions regarding the agreements you have signed or are being asked to sign, contact Moulton & Arney, LLP for a free initial consultation with an experienced securities and employee agreement lawyer.  We serve financial advisors, registered representatives, securities brokers and investment advisors nationwide in securities and employment law.