Financial Professional Employment Law and Regulation

Registered representatives and investment adviser representatives have unique relationships with their employers, or in some cases, their independent contracting firm. These industries are governed by complex rules that dictate much of the terms of employment, and where the parties are left to contract for themselves, they often do so using industry terms, regulations and metrics that require a detailed knowledge of industry laws, rules, standards, and practices. Parker MacIntyre represents both firms and individuals with respect to their contracts, including drafting and negotiation. We also handle disputes that arise when an employment relationship is strained, is coming to an end, or is terminated.