Registered Representative / Investment Advisor Representative Representation

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As a former general counsel and president of a broker-dealer, Mr. Bean is uniquely qualified to provide advice and counsel to registered representatives and investment adviser representatives both in connection with their employment agreements with their broker-dealers and in litigation.  When a customer brings an arbitration against the broker-dealer and the representative, it is sometimes necessary for the representative to have counsel separate from the attorney representing the broker-dealer.  Representatives may also need their own representation either when negotiating the terms upon which they will become associated with the firm, or when negotiating the terms of their exit from a firm.  If you find yourself in any of the positions, please give us a call.

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