SlideShare a Scribd company logo
1 of 26
Avoiding Traps In Your Transition   Negotiating Your Bonus Arrangement and Employment Terms When Moving to a New Brokerage Firm PRESENTED BY: Online Seminar March 13, 2007 James J. Eccleston [email_address]
Welcome to our web presentation. ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],If you have not yet done so, please call the teleconference operator at  800-591-6948  with your emailed participant passcode   in order to hear the audio portion of our presentation.  You may submit questions at any time during the presentation using the Q&A tab in the lower right hand corner of your screen.  This recorded presentation and separate audio file will be posted at our website at SNSFE-law.com along with a PDF of the slides.   Thank you for taking time out of your busy day to attend.
[object Object],[object Object],[object Object],[object Object],[object Object],Broad Coverage
[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],Broad Coverage
[object Object],[object Object],[object Object],[object Object],[object Object],Broad Coverage
[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],Broad Coverage
[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],Broad Coverage
[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],Forgivable Loan
[object Object],[object Object],[object Object],[object Object],[object Object],Forgivable Loan
[object Object],[object Object],[object Object],Forgivable Loan
[object Object],[object Object],[object Object],Forgivable Loan
[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],Forgivable Loan
[object Object],[object Object],[object Object],Forgivable Loan
[object Object],[object Object],[object Object],Forgivable Loan
[object Object],[object Object],Forgivable Loan
[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],Forgivable Loan
[object Object],[object Object],[object Object],[object Object],Employment Agreement
[object Object],[object Object],[object Object],[object Object],[object Object],Employment Agreement
[object Object],Employment Agreement
[object Object],[object Object],[object Object],Employment Agreement
[object Object],[object Object],[object Object],[object Object],Employment Agreement
[object Object],Employment Agreement
[object Object],[object Object],[object Object],Employment Agreement
[object Object],[object Object],[object Object],[object Object],[object Object],Employment Agreement
[object Object],Employment Agreement
James J. Eccleston [email_address] 312.621.4400 Questions? Visit my new blog at: www.FinancialCounsel.typepad.com Shaheen, Novoselsky, Staat,  Filipowski & Eccleston, P.C. 20 N. Wacker Drive, Suite 2900 Chicago, IL  60606-9719 www.SNSFE-law.com  www.FinancialCounsel.com This recorded webinar will be posted soon at www.SNSFE-law.com. Thank you!

More Related Content

What's hot

Comparison of corporate vehicles in india
Comparison of corporate vehicles in indiaComparison of corporate vehicles in india
Comparison of corporate vehicles in indiaefsconsultants
 
Terms and Trends in Venture Financings from across WilmerHale
Terms and Trends in Venture Financings from across WilmerHaleTerms and Trends in Venture Financings from across WilmerHale
Terms and Trends in Venture Financings from across WilmerHaleWilmerHale
 
Harlem Biospace Seminar: Formation
Harlem Biospace Seminar: FormationHarlem Biospace Seminar: Formation
Harlem Biospace Seminar: FormationWilmerHale
 
Business management tips_2021
Business management tips_2021Business management tips_2021
Business management tips_2021FinnKevin
 
Introduction to Venture Capital Financing
Introduction to Venture Capital FinancingIntroduction to Venture Capital Financing
Introduction to Venture Capital FinancingWilmerHale
 
How Your Company is Affected by the CARES Act and Related Legislation
How Your Company is Affected by the CARES Act and Related LegislationHow Your Company is Affected by the CARES Act and Related Legislation
How Your Company is Affected by the CARES Act and Related LegislationRoger Royse
 
10 most common corporate governance sins, and how to avoid them
10 most common corporate governance sins, and how to avoid them10 most common corporate governance sins, and how to avoid them
10 most common corporate governance sins, and how to avoid themODCE
 
Taxes - Business Entity
Taxes - Business EntityTaxes - Business Entity
Taxes - Business Entitympowered
 
Business Entity Choice Presentation
Business Entity Choice PresentationBusiness Entity Choice Presentation
Business Entity Choice PresentationSSDlaw
 
Bankruptcy For Business Lawyers Ii
Bankruptcy For Business Lawyers IiBankruptcy For Business Lawyers Ii
Bankruptcy For Business Lawyers Iiguestd2a8f81
 
Protecing Your Assets
Protecing Your AssetsProtecing Your Assets
Protecing Your AssetsWilmerHale
 
Top tax issues for startup companies (10 3-16 revision)
Top tax issues for startup companies (10 3-16 revision)Top tax issues for startup companies (10 3-16 revision)
Top tax issues for startup companies (10 3-16 revision)Roger Royse
 
Harlem Biospace Seminar: Protecting Your Assets
Harlem Biospace Seminar: Protecting Your AssetsHarlem Biospace Seminar: Protecting Your Assets
Harlem Biospace Seminar: Protecting Your AssetsWilmerHale
 
GameStartUp101: Legal: Company Formation
GameStartUp101: Legal: Company FormationGameStartUp101: Legal: Company Formation
GameStartUp101: Legal: Company FormationKristina Hudson
 
India us brochure
India us brochureIndia us brochure
India us brochureNovojuris
 
Buy sell agreements-2021
Buy sell agreements-2021Buy sell agreements-2021
Buy sell agreements-2021FinnKevin
 
Choice of entity presentation 3.12.15
Choice of entity presentation 3.12.15Choice of entity presentation 3.12.15
Choice of entity presentation 3.12.15gppcpa
 
Facing Tarp Head On
Facing Tarp Head OnFacing Tarp Head On
Facing Tarp Head Onsandberg46
 

What's hot (19)

Comparison of corporate vehicles in india
Comparison of corporate vehicles in indiaComparison of corporate vehicles in india
Comparison of corporate vehicles in india
 
Terms and Trends in Venture Financings from across WilmerHale
Terms and Trends in Venture Financings from across WilmerHaleTerms and Trends in Venture Financings from across WilmerHale
Terms and Trends in Venture Financings from across WilmerHale
 
Harlem Biospace Seminar: Formation
Harlem Biospace Seminar: FormationHarlem Biospace Seminar: Formation
Harlem Biospace Seminar: Formation
 
Business management tips_2021
Business management tips_2021Business management tips_2021
Business management tips_2021
 
Introduction to Venture Capital Financing
Introduction to Venture Capital FinancingIntroduction to Venture Capital Financing
Introduction to Venture Capital Financing
 
How Your Company is Affected by the CARES Act and Related Legislation
How Your Company is Affected by the CARES Act and Related LegislationHow Your Company is Affected by the CARES Act and Related Legislation
How Your Company is Affected by the CARES Act and Related Legislation
 
10 most common corporate governance sins, and how to avoid them
10 most common corporate governance sins, and how to avoid them10 most common corporate governance sins, and how to avoid them
10 most common corporate governance sins, and how to avoid them
 
Taxes - Business Entity
Taxes - Business EntityTaxes - Business Entity
Taxes - Business Entity
 
Business Entity Choice Presentation
Business Entity Choice PresentationBusiness Entity Choice Presentation
Business Entity Choice Presentation
 
Bankruptcy For Business Lawyers Ii
Bankruptcy For Business Lawyers IiBankruptcy For Business Lawyers Ii
Bankruptcy For Business Lawyers Ii
 
General Incorporation Information Session
General Incorporation Information SessionGeneral Incorporation Information Session
General Incorporation Information Session
 
Protecing Your Assets
Protecing Your AssetsProtecing Your Assets
Protecing Your Assets
 
Top tax issues for startup companies (10 3-16 revision)
Top tax issues for startup companies (10 3-16 revision)Top tax issues for startup companies (10 3-16 revision)
Top tax issues for startup companies (10 3-16 revision)
 
Harlem Biospace Seminar: Protecting Your Assets
Harlem Biospace Seminar: Protecting Your AssetsHarlem Biospace Seminar: Protecting Your Assets
Harlem Biospace Seminar: Protecting Your Assets
 
GameStartUp101: Legal: Company Formation
GameStartUp101: Legal: Company FormationGameStartUp101: Legal: Company Formation
GameStartUp101: Legal: Company Formation
 
India us brochure
India us brochureIndia us brochure
India us brochure
 
Buy sell agreements-2021
Buy sell agreements-2021Buy sell agreements-2021
Buy sell agreements-2021
 
Choice of entity presentation 3.12.15
Choice of entity presentation 3.12.15Choice of entity presentation 3.12.15
Choice of entity presentation 3.12.15
 
Facing Tarp Head On
Facing Tarp Head OnFacing Tarp Head On
Facing Tarp Head On
 

Viewers also liked

SKILCRAFT Imaging Supplies
SKILCRAFT Imaging SuppliesSKILCRAFT Imaging Supplies
SKILCRAFT Imaging SuppliesDon Larimer
 
Avoiding Customer Complaints
Avoiding Customer ComplaintsAvoiding Customer Complaints
Avoiding Customer Complaintsjimeccleston
 
Compliance Survivor: Simplifying Complex Regulatory Concerns
Compliance Survivor: Simplifying Complex Regulatory ConcernsCompliance Survivor: Simplifying Complex Regulatory Concerns
Compliance Survivor: Simplifying Complex Regulatory Concernsjimeccleston
 
Buying or Selling an Investment Advisory Firm: A Lawyer\'s Perspective
Buying or Selling an Investment Advisory Firm: A Lawyer\'s PerspectiveBuying or Selling an Investment Advisory Firm: A Lawyer\'s Perspective
Buying or Selling an Investment Advisory Firm: A Lawyer\'s Perspectivejimeccleston
 
Email and Document Retention for Investment Advisers
Email and Document Retention for Investment AdvisersEmail and Document Retention for Investment Advisers
Email and Document Retention for Investment Advisersjimeccleston
 
Recovering Your Losses From Misguided Real Estate Investments...and Recognizi...
Recovering Your Losses From Misguided Real Estate Investments...and Recognizi...Recovering Your Losses From Misguided Real Estate Investments...and Recognizi...
Recovering Your Losses From Misguided Real Estate Investments...and Recognizi...jimeccleston
 
Eccleston Law Announcement
Eccleston Law AnnouncementEccleston Law Announcement
Eccleston Law Announcementjimeccleston
 
Key Guidance On Hedge Fund Investing
Key Guidance On Hedge Fund InvestingKey Guidance On Hedge Fund Investing
Key Guidance On Hedge Fund Investingjimeccleston
 
The Evolution of Fiduciary Liability For Investment Losses - ERISA Plans, Non...
The Evolution of Fiduciary Liability For Investment Losses - ERISA Plans, Non...The Evolution of Fiduciary Liability For Investment Losses - ERISA Plans, Non...
The Evolution of Fiduciary Liability For Investment Losses - ERISA Plans, Non...jimeccleston
 

Viewers also liked (9)

SKILCRAFT Imaging Supplies
SKILCRAFT Imaging SuppliesSKILCRAFT Imaging Supplies
SKILCRAFT Imaging Supplies
 
Avoiding Customer Complaints
Avoiding Customer ComplaintsAvoiding Customer Complaints
Avoiding Customer Complaints
 
Compliance Survivor: Simplifying Complex Regulatory Concerns
Compliance Survivor: Simplifying Complex Regulatory ConcernsCompliance Survivor: Simplifying Complex Regulatory Concerns
Compliance Survivor: Simplifying Complex Regulatory Concerns
 
Buying or Selling an Investment Advisory Firm: A Lawyer\'s Perspective
Buying or Selling an Investment Advisory Firm: A Lawyer\'s PerspectiveBuying or Selling an Investment Advisory Firm: A Lawyer\'s Perspective
Buying or Selling an Investment Advisory Firm: A Lawyer\'s Perspective
 
Email and Document Retention for Investment Advisers
Email and Document Retention for Investment AdvisersEmail and Document Retention for Investment Advisers
Email and Document Retention for Investment Advisers
 
Recovering Your Losses From Misguided Real Estate Investments...and Recognizi...
Recovering Your Losses From Misguided Real Estate Investments...and Recognizi...Recovering Your Losses From Misguided Real Estate Investments...and Recognizi...
Recovering Your Losses From Misguided Real Estate Investments...and Recognizi...
 
Eccleston Law Announcement
Eccleston Law AnnouncementEccleston Law Announcement
Eccleston Law Announcement
 
Key Guidance On Hedge Fund Investing
Key Guidance On Hedge Fund InvestingKey Guidance On Hedge Fund Investing
Key Guidance On Hedge Fund Investing
 
The Evolution of Fiduciary Liability For Investment Losses - ERISA Plans, Non...
The Evolution of Fiduciary Liability For Investment Losses - ERISA Plans, Non...The Evolution of Fiduciary Liability For Investment Losses - ERISA Plans, Non...
The Evolution of Fiduciary Liability For Investment Losses - ERISA Plans, Non...
 

Similar to Avoiding Traps in Your Transition: Negotiating Your Bonus Arrangement and Employment Terms When Moving to a New Brokerage Firm

Coleman Greig Employment Law Workshop Presentation - Contracts & Policies
Coleman Greig Employment Law Workshop Presentation - Contracts & PoliciesColeman Greig Employment Law Workshop Presentation - Contracts & Policies
Coleman Greig Employment Law Workshop Presentation - Contracts & PoliciesStephen Booth
 
Collecting Your Receivables
Collecting Your ReceivablesCollecting Your Receivables
Collecting Your ReceivablesJFLOREZ757
 
How to Reduce Plaintiff Attorneys' Income Taxes and Build Wealth Using Contin...
How to Reduce Plaintiff Attorneys' Income Taxes and Build Wealth Using Contin...How to Reduce Plaintiff Attorneys' Income Taxes and Build Wealth Using Contin...
How to Reduce Plaintiff Attorneys' Income Taxes and Build Wealth Using Contin...Greg Maxwell
 
Company fixed deposit
Company fixed depositCompany fixed deposit
Company fixed depositashishjaswal
 
FINALcopy-of-ga_builder_agreement_9-16_aw_no_feesoct-1-1 (4) (1)
FINALcopy-of-ga_builder_agreement_9-16_aw_no_feesoct-1-1 (4) (1)FINALcopy-of-ga_builder_agreement_9-16_aw_no_feesoct-1-1 (4) (1)
FINALcopy-of-ga_builder_agreement_9-16_aw_no_feesoct-1-1 (4) (1)Tristan Curry
 
Fina lcopy of-ga-builder_agreement_9-16_aw_no_feesoct-1-1 (4) (1)
Fina lcopy of-ga-builder_agreement_9-16_aw_no_feesoct-1-1 (4) (1)Fina lcopy of-ga-builder_agreement_9-16_aw_no_feesoct-1-1 (4) (1)
Fina lcopy of-ga-builder_agreement_9-16_aw_no_feesoct-1-1 (4) (1)Tristan Curry
 
FINALcopy-of-ga_builder_agreement_9-16_aw_no_feesoct-1-1 (4) (1) (2) (1)
FINALcopy-of-ga_builder_agreement_9-16_aw_no_feesoct-1-1 (4) (1) (2) (1)FINALcopy-of-ga_builder_agreement_9-16_aw_no_feesoct-1-1 (4) (1) (2) (1)
FINALcopy-of-ga_builder_agreement_9-16_aw_no_feesoct-1-1 (4) (1) (2) (1)Tristan Curry
 
Castle Mortgage Correspondent Application061115
Castle Mortgage Correspondent Application061115Castle Mortgage Correspondent Application061115
Castle Mortgage Correspondent Application061115Larry Evans
 
Employee or Independent Contractor?
Employee or Independent Contractor? Employee or Independent Contractor?
Employee or Independent Contractor? bodo-con
 
Lavender business protection presentation
Lavender business protection presentationLavender business protection presentation
Lavender business protection presentationKennett Timepieces
 
account receivable factoring and business unsecured loans
account receivable factoring and business unsecured loans account receivable factoring and business unsecured loans
account receivable factoring and business unsecured loans bljunk
 
Recruitment consultant for united states
Recruitment consultant for united statesRecruitment consultant for united states
Recruitment consultant for united statesAman Singh
 
Recruitment consultant for united states
Recruitment consultant for united statesRecruitment consultant for united states
Recruitment consultant for united statesAman Singh
 
Alternative Structures - PO Financing, Factoring & MCA (Series: Business Borr...
Alternative Structures - PO Financing, Factoring & MCA (Series: Business Borr...Alternative Structures - PO Financing, Factoring & MCA (Series: Business Borr...
Alternative Structures - PO Financing, Factoring & MCA (Series: Business Borr...Financial Poise
 
SOURCES OF LONG TERM FINANCE & RAISING LONG TERM FINANCE
SOURCES OF LONG TERM FINANCE & RAISING LONG TERM FINANCESOURCES OF LONG TERM FINANCE & RAISING LONG TERM FINANCE
SOURCES OF LONG TERM FINANCE & RAISING LONG TERM FINANCEKailash Naghera
 

Similar to Avoiding Traps in Your Transition: Negotiating Your Bonus Arrangement and Employment Terms When Moving to a New Brokerage Firm (20)

Coleman Greig Employment Law Workshop Presentation - Contracts & Policies
Coleman Greig Employment Law Workshop Presentation - Contracts & PoliciesColeman Greig Employment Law Workshop Presentation - Contracts & Policies
Coleman Greig Employment Law Workshop Presentation - Contracts & Policies
 
Collecting Your Receivables
Collecting Your ReceivablesCollecting Your Receivables
Collecting Your Receivables
 
How to Reduce Plaintiff Attorneys' Income Taxes and Build Wealth Using Contin...
How to Reduce Plaintiff Attorneys' Income Taxes and Build Wealth Using Contin...How to Reduce Plaintiff Attorneys' Income Taxes and Build Wealth Using Contin...
How to Reduce Plaintiff Attorneys' Income Taxes and Build Wealth Using Contin...
 
Professional indemnity insurance
Professional indemnity insuranceProfessional indemnity insurance
Professional indemnity insurance
 
Company fixed deposit
Company fixed depositCompany fixed deposit
Company fixed deposit
 
Business Basics1052010
Business Basics1052010Business Basics1052010
Business Basics1052010
 
FINALcopy-of-ga_builder_agreement_9-16_aw_no_feesoct-1-1 (4) (1)
FINALcopy-of-ga_builder_agreement_9-16_aw_no_feesoct-1-1 (4) (1)FINALcopy-of-ga_builder_agreement_9-16_aw_no_feesoct-1-1 (4) (1)
FINALcopy-of-ga_builder_agreement_9-16_aw_no_feesoct-1-1 (4) (1)
 
Fina lcopy of-ga-builder_agreement_9-16_aw_no_feesoct-1-1 (4) (1)
Fina lcopy of-ga-builder_agreement_9-16_aw_no_feesoct-1-1 (4) (1)Fina lcopy of-ga-builder_agreement_9-16_aw_no_feesoct-1-1 (4) (1)
Fina lcopy of-ga-builder_agreement_9-16_aw_no_feesoct-1-1 (4) (1)
 
FINALcopy-of-ga_builder_agreement_9-16_aw_no_feesoct-1-1 (4) (1) (2) (1)
FINALcopy-of-ga_builder_agreement_9-16_aw_no_feesoct-1-1 (4) (1) (2) (1)FINALcopy-of-ga_builder_agreement_9-16_aw_no_feesoct-1-1 (4) (1) (2) (1)
FINALcopy-of-ga_builder_agreement_9-16_aw_no_feesoct-1-1 (4) (1) (2) (1)
 
Castle Mortgage Correspondent Application061115
Castle Mortgage Correspondent Application061115Castle Mortgage Correspondent Application061115
Castle Mortgage Correspondent Application061115
 
A 408(b)(2) Claim: Now What?
A 408(b)(2) Claim: Now What?A 408(b)(2) Claim: Now What?
A 408(b)(2) Claim: Now What?
 
Working With Partners
Working With PartnersWorking With Partners
Working With Partners
 
Employee or Independent Contractor?
Employee or Independent Contractor? Employee or Independent Contractor?
Employee or Independent Contractor?
 
Lavender business protection presentation
Lavender business protection presentationLavender business protection presentation
Lavender business protection presentation
 
account receivable factoring and business unsecured loans
account receivable factoring and business unsecured loans account receivable factoring and business unsecured loans
account receivable factoring and business unsecured loans
 
Recruitment consultant for united states
Recruitment consultant for united statesRecruitment consultant for united states
Recruitment consultant for united states
 
Recruitment consultant for united states
Recruitment consultant for united statesRecruitment consultant for united states
Recruitment consultant for united states
 
Alternative Structures - PO Financing, Factoring & MCA (Series: Business Borr...
Alternative Structures - PO Financing, Factoring & MCA (Series: Business Borr...Alternative Structures - PO Financing, Factoring & MCA (Series: Business Borr...
Alternative Structures - PO Financing, Factoring & MCA (Series: Business Borr...
 
SOURCES OF LONG TERM FINANCE & RAISING LONG TERM FINANCE
SOURCES OF LONG TERM FINANCE & RAISING LONG TERM FINANCESOURCES OF LONG TERM FINANCE & RAISING LONG TERM FINANCE
SOURCES OF LONG TERM FINANCE & RAISING LONG TERM FINANCE
 
Company act
Company actCompany act
Company act
 

Avoiding Traps in Your Transition: Negotiating Your Bonus Arrangement and Employment Terms When Moving to a New Brokerage Firm

  • 1. Avoiding Traps In Your Transition Negotiating Your Bonus Arrangement and Employment Terms When Moving to a New Brokerage Firm PRESENTED BY: Online Seminar March 13, 2007 James J. Eccleston [email_address]
  • 2.
  • 3.
  • 4.
  • 5.
  • 6.
  • 7.
  • 8.
  • 9.
  • 10.
  • 11.
  • 12.
  • 13.
  • 14.
  • 15.
  • 16.
  • 17.
  • 18.
  • 19.
  • 20.
  • 21.
  • 22.
  • 23.
  • 24.
  • 25.
  • 26. James J. Eccleston [email_address] 312.621.4400 Questions? Visit my new blog at: www.FinancialCounsel.typepad.com Shaheen, Novoselsky, Staat, Filipowski & Eccleston, P.C. 20 N. Wacker Drive, Suite 2900 Chicago, IL 60606-9719 www.SNSFE-law.com www.FinancialCounsel.com This recorded webinar will be posted soon at www.SNSFE-law.com. Thank you!