Broker Representation

Brokers often encounter difficulties with employment contracts when changing jobs. Even if the employers are on opposite sides of the country, non-competition agreements and other restrictive employment contracts do not often discriminate by geographic location.

At Chester & Shein, P.C., in Arizona, we represent the interests and rights of brokers seeking new opportunities in the Southwest and throughout the United States. Professional legal representation from a resolute lawyer can facilitate communication between employers and regulatory agencies. When our clients are seeking licensing and registration approval or working to protect themselves in relation to employment contracts, we provide them with informative and aggressive representation.

Negotiation, Litigation and Legal Protection

Our Phoenix broker representation attorneys offer extensive resources and experience to clients in need of legal assistance with brokerage firms, corporations, hedge funds and other investment houses. Broker-dealers may pursue brokers for repayments of promissory note balances, non-compete disputes or disciplinary actions. Comprehensive legal representation is also vital in any situations involving:

  • Forms U4 or U5, used by broker-dealers to register and terminate registrations of associated persons with self-regulatory organizations (SRO) and jurisdictions
  • Form U6, used by SROs, regulators and jurisdictions to report disciplinary actions against broker-dealers and associated persons

Founding partner attorney Mark Chester is a past chair of the Securities Regulation Section Executive Council of the State Bar of Arizona, and our knowledgeable, results-oriented team of attorneys has negotiated settlements and litigated victories for clients across the U.S.

Stockbroker Employment Contracts Attorneys | Serving Tucson, Phoenix, Flagstaff and the Southwest

Contact us at 480-447-1370 or via e-mail to schedule a consultation about your particular situation.