Investment Advisor Rewards

Mr. Rickman has significant experience representing investment advisors, including wealth managers and financial planners, and broker-dealers with Dodd-Frank whistleblower and retaliation claims.
​
He also provides contract review and consultation for employees of investment advisory and broker-dealer firms. Mr. Rickman often reviews and evaluates the legality and enforceability of non-compete, non-solicitation, and confidentiality provisions under both state law and the federal Dodd-Frank Act.
​
Mr. Rickman offers a free initial consultation to investment advisors and broker-dealers who would like to discuss their agreements and the relevant facts of their case.
​
Below are links to some of Mr. Rickman’s articles in this area:
​
Investment Advisory and Broker-Dealer Employees Beware of Landmines in Employment Agreements
​
Investment Advisors and Broker-Dealers: 5 Things They Should Be Doing Now
​
Investment Advisors and Broker-Dealers: Dodd-Frank Reward Program – 3 Most Commonly Asked Questions

Investment Advisors and Broker-Dealers: 3 Things to Know About Client Non-Solicitation Provisions (Including Impact on Social Media Usage)

Investment Advisors and Broker-Dealers: Responding to a Cease and Desist Letter