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you are actively looking to transfer registration from one firm to another or you are looking to “clean-up” some of the outdated information on your CRD, Galluzzo & Arnone LLP can help.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.
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)