FINRA arbitrations are decided by a Panel of three arbitrators, one of whom is the Chair. The Chair is more than just 1/3 of a FINRA litigant’s judge, jury, and executioner. The Chair has an outsized role, authority, and gravitas with the other two panelists. To serve as the Chair for a FINRA arbitration, an…
Continue reading ›Financial Advisors rightly seek legal help in navigating the departure from their current Firm, whether Protocol or non-Protocol, about solicitation, compensation / Notes, and U5 issues. It is shocking, however, how unfocused Financial Advisors are about the finer deal points (i.e., other than the financials – frontends/backends) and legalese for the new Firm. Often, Financial…
Continue reading ›If you’ve seen the hit TV series Suits, you already know a thing or two about closing a deal from Harvey Specter – the self-proclaimed “best closer in New York City.” It’s hard to deny Harvey’s lofty title when you consider his track record. Harvey averaged around one to two multi-million-dollar settlements per episode. While…
Continue reading ›Executive agreements often include Change of Control (COC) provisions that are triggered by some material event in the company, often new ownership. IMcP’s employment attorneys have extensive experience drafting and litigating change of control agreements. Change of control agreements are intended to provide levels of protection for a company’s current executives when the company is…
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