Services for Brokers

We specialize in representing brokers in connection with routine licensing matters, negotiation of employment contracts and arbitration of securities-industry matters -- often with former employers -- before FINRA panels.

Licensing Matters

We have experience with both federal, state and industry licensing requirements and how they impact your career as a broker. Whether you are actively looking to transfer registration from one firm to another or you are looking to “clean-up” some of the outdated information on your CRD, Galluzzo & Arnone LLP can help. We also have particular expertise in advising clients as to their reporting requirements following criminal arrests.

Retention/Signing Bonuses

Bonus Agreements are the single biggest bone of contention between brokers and the firms at which they work. We have reviewed numerous bonus agreements, whether structured as a forgivable loan or a promissory note with a defeasance schedule in a corresponding bonus agreement. If you are eligible for a retention bonus at your current firm or a signing bonus at a new firm you should strongly consider engaging the services of an attorney with experience in these matters.

Brokers in Transition

There are a number of pitfalls associated with transitioning from one firm to another. Before you decide to move from one firm to another, consult with an attorney to determine the potentially over-arching implications of your decision.

FINRA Arbitration

In the event you are brought before FINRA by a disgruntled client or a former employer, Galluzzo & Arnone LLP has a team of litigators with an excellent track record both in court and before FINRA. We have successfully litigated one of the most high-profile FINRA arbitrations in recent years. Indeed, G&J secured one stunning victory for a client in a FINRA arbitration that Fortune magazine declared as "practically impossible." (Link to the article available here)