Our firm can assist in the follow in following transition matters:

• Non-competes and non-solicits

• Garden leaves

• Promissory and forgivable notes

• Other post-employment obligations

• Compliance with the Protocol for Broker Recruiting (if applicable)

• Transitions specific to partnerships and teams

• Regulatory disclosures

• Advising on any pending internal investigations with the departing firm

• Analyzing and negotiating Form U4 and Form U5 language with the departing firm

• Post-transition issues, such as improper client retention practices by the departing firm

• Regulatory inquiries or state-specific registration matters arising from your transition

• Analyzing employment-related agreements provided by the new firm

• Investigating potential employment claims against your current employer, such as breach of contract, misrepresentation, discrimination, expungement and constructive discharge

• Post-employment arbitration or litigation involving the departing firm