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Financial Industry Employee Transitions

Rich, Intelisano & Katz represents high level financial industry executives in transition from one firm to another, including negotiating exit packages, up front bonus agreements and employment agreements. We provide straight-forward, candid advice based upon our many years of experience in the securities industry. Our attorneys have represented senior managers, investment bankers, traders, portfolio managers, analysts, institutional salespersons, and others in negotiations with many of the world’s largest investment banks, private banks, brokerage firms, commodities firms, hedge funds and private equity firms. Many issues include salary, bonus, incentive compensation, deferred compensation, non-compete clauses, non-solicitation clauses, confidentiality clauses, restrictive covenants, trade secrets, intellectual property, promissory notes, forgivable loan agreements, and partnership agreements.

The Firm represents elite private wealth management, brokerage and private banking teams in transitions from one firm to another. We have negotiated up front bonus agreements, forgivable loan agreements and employment agreements with many of the large wire houses. We have defended numerous teams in promissory note and forgivable loan FINRA arbitrations.

Client Reviews
Daniel Katz and his firm are exceptionally knowledgeable about the constantly changing construction business and they have given my company insightful legal advice throughout the years. They have assisted with numerous construction negotiations, claims, and business matters with many satisfactory resolutions. Michael B.
Daniel Katz and his team have always been exemplary, always prepared, always responsive and extremely knowledgeable about construction issues. I cannot imagine better representation. Jim F.
RIK fought hard for me in my FINRA arbitration which resulted in an outstanding result. I will forever be grateful to them. Jeff B.
Ross and his team did a wonderful job representing me in my employment dispute. They were honest, intelligent and hard working. I recommend RIK to all of my colleagues in the financial industry. Steven F.
The theft of pension fund assets by a money manager prompted the Board of Trustee’s investigation into “how did this happen?” John Rich and the Rich, Intelisano & Katz team managed this complex securities litigation matter to fruitful results for our pension fund. Cecelia C., Executive Director