Securities Industry Employment

Mark represents brokers and firms in every type of issue in the relationship, from broker transition issues, promissory notes, garden leave issues, injunctions, broker recruiting protocol issues, joint defense issues, expungements, U-4 and U-5 defamation,as well as arbitration and litigation between firms, brokers and customers.

During his career, he has represented over 60 brokerage firms and hundreds of financial professionals in their regulatory, litigation and employment issues. Mark’s experience and knowledge of this highly specialized area of employment law enables him to provide guidance and assistance, to firms as well as professionals, in the negotiation of compensation packages and upfront loans, as well as severance agreements, promissory note settlements and restructuring, and non-compete waivers. He has negotiated broker compensation agreements for individuals with every major Wall Street firm.

For more details on Mark’s experience, see’s profile on him. If you or your firm need help with an employment issue, including termination and U5 issues, give him a call at 212-509-6544 or email him at The consultation is always confidential, and free.

Some of Mark’s articles on securities employment issues include:

Transition Agreements are Negotiable – Even for Credit Suisse Brokers