Financial Industry Employee Transitions

Rich, Intelisano & Katz represents high level financial industry executives in transition from one firm to another, including negotiating exit packages, up front bonus agreements and employment agreements. We provide straight-forward, candid advice based upon our many years of experience in the securities industry. Our attorneys have represented senior managers, investment bankers, traders, portfolio managers, analysts, institutional salespersons, and others in negotiations with many of the world’s largest investment banks, private banks, brokerage firms, commodities firms, hedge funds and private equity firms. Many issues include salary, bonus, incentive compensation, deferred compensation, non-compete clauses, non-solicitation clauses, confidentiality clauses, restrictive covenants, trade secrets, intellectual property, promissory notes, forgivable loan agreements, and partnership agreements.

The Firm represents elite private wealth management, brokerage and private banking teams in transitions from one firm to another. We have negotiated up front bonus agreements, forgivable loan agreements and employment agreements with many of the large wire houses. We have defended numerous teams in promissory note and forgivable loan FINRA arbitrations.