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Investment professionals work extremely hard to obtain the education and licensing that are required to earn a living in the securities industry, and to build the reputation that is necessary to be successful. GGB is particularly aware of the legal issues and career considerations that many investment professionals must deal with in serving their clients, building a practice and book of business, and transitioning between firms.
Licensing and registration are always of paramount concern to investment professionals, as it is a necessary part of their business. GGB can assist clients with reporting and disclosure obligations on Forms U4 and U5. Disclosures on a Form U5 are of special importance because of the complications that a negative disclosure event can present in transitioning from one firm to another. GGB works with its clients and their former firms to minimize the impact of these instances on an investment professional’s ability to conduct business.
GGB helps investment professional clients with legal and regulatory matters that can have a dramatic impact on their careers and livelihoods. The firm is experienced in advocating for investment professionals in matters regarding:
It is almost always preferable to deal with these issues proactively, before a dispute develops. GGB can review employment agreements, “forgivable loan” documents, promissory notes, or other employment documents, and counsel investment professionals through the process of negotiating employment terms. The firm can also assist in planning a practice transition if an investment professional is considering leaving his or her current employer, or if he or she wants to transition from a broker-dealer business model to a registered investment adviser firm.