The Securities Law Firm of Menzer & Hill, P.A. represents brokers during a regulatory inquiry or disciplinary process. As regulation is complex and sanctions can be stiff it’s important to have representation during these phases. Representation is also available when brokers are seeking licensing yet the regulatory agency has yet to approve them in their jurisdiction. Often having representation can facilitate direct communication with states’ licensing examiners and assist during the licensing and registration approval process.
If a broker made a promissory note with the brokerage firm, he or she may have to repay the full remaining balance upon leaving the firm. Menzer & Hill, P.A. represents brokers in negotiating with the previous firm amounts that may be owed or to structure a satisfactory payment plan. Broker-dealers will pursue their brokers for repayments so it is important to have representation in such event.
Contact us today for a free initial consultation.