Financial Services

At Mickes O’Toole, the Financial Services Group advises and litigates on a wide range of legal issues that impact both firms and financial professionals.

Our Financial Services Group has deep experience litigating in courts and arbitration forums, whether the issue is emergency injunctive relief, restrictive covenants, trade secrets misappropriation, the Protocol for Broker Recruiting, or allegations of breaches of fiduciary duty or contractual obligations.

The Financial Services Group also provides consultations for financial services professionals as they evaluate whether to make a transition between firms, advising on the litigation and regulatory risks of various options for your transition, so you can develop an effective plan for your transition.

Our Financial Services attorneys prepare and counsel on a variety of agreements common in the industry, including:

  • Asset Purchase Agreements
  • Employment Agreements
  • Hybrid RIA Agreements
  • Representative Agreements
  • Confidentiality Agreements
  • Non-Disclosure Agreements
  • Intellectual Property Agreements
  • Non-Solicitation or Non-Competition Agreements
  • Team or Partnership Agreements
  • Retirement Program Agreements
  • Operating Agreements
  • Privacy Policies

Our team of professionals welcomes
the opportunity to serve your needs.

Business & Corporate Law Group

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