Florida Broker & Brokerage Firm Lawyer
Securities Licensing, Employment and Regulatory Enforcement Attorney
Having served as in-house counsel to regional and national brokerage firms, Gregory Tendrich is a Florida broker & brokerage lawyer with extensive experience in securities licensing and disciplinary matters. He aggressively represents brokers and brokerage firms at all stages of the legal process and always seeks to obtain the best outcome for every client.
- Are you in the process of leaving one firm and joining another firm or registering in another state and are not sure how to answer a question on your U-4?
- Have you resigned or been terminated by your firm and want someone to protect you and what is said about you on your U5? (Firms have 30 days to file your U5, YOU MUST ACT QUICKLY)
- Are you moving from a Broker Protocol firm to another Broker Protocol firm?
- Are you moving from a Broker Protocol Firm to a non-Broker Protocol firm?
- Did you sign a non-solicitation and/or non-compete agreement and desire to leave your firm?
- Has your firm merged or was there a change of control with another firm and you are not certain if you should sign the transition package that has been offered to you? Do you have questions regarding your deferred compensation, stock awards and other benefits that could be impacted by the merger or change of control?
- Has your former firm filed a U-5 that you believe is false, inaccurate or defamatory?
- Are you the subject of an OTR or “on-the-record” interview or have you been asked to provide testimony to FINRA, the SEC or a state regulatory agency?
- Do you owe money to your firm on a promissory note or under an employment agreement or trainee agreement?
- Have you been served with a subpoena requesting documents or information from the SEC, FINRA or a state regulator?
- Are you the subject of a Wells Notice issued by the SEC?
The Law Office of Gregory Tendrich, P.A. can advise and represent you in matters involving:
- U-5 and U-4 issues
- The Broker Protocol
- FINRA and SEC OTR hearings
- Negotiation of severance agreements
- The resolution of outstanding promissory notes and debts
- Negotiation of employment agreements or contracts
- Review transition packages
- Wells Notices
- Licensing, registration and compliance issues
- SEC and FINRA inquiries
- Deferred Compensation
- Audits
- Investigations
Contact The Law Office of Gregory Tendrich, P.A. today for a free initial consultation.
Experienced Broker and Brokerage Firm Attorney in Boca Raton
Before starting his own law practice, Gregory Tendrich served as Vice President and Assistant General Counsel to regional and national brokerage firms. While acting as in-house counsel, Mr. Tendrich obtained and held his Series 7 securities license and worked on a daily basis directly with the Operations and Compliance departments of each of these firms, as well as with senior management. In his prior and current roles, Mr. Tendrich has represented many brokers, brokerage firms and investment professionals in licensing, disciplinary and employment-related matters.
As a talented brokerage professional, you want a lawyer who will work tenaciously to protect your rights, your reputation and your license.
Let Gregory Tendrich’s experience and understanding of the securities industry and the inner workings of brokerage firms help you today.
Contact a Florida Broker & Brokerage Firm Lawyer Today
To discuss your legal issue with an experienced lawyer, contact The Law Office of Gregory Tendrich, P.A. The hiring of a lawyer is an important decision and should not be based solely on advertisements. Before you decide, ask Gregory Tendrich to send you free, written information about his qualifications and experience or view our attorney profile.