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Client Contracts, Independent Contractor & Employee Agreements and Other Documents


Doing business in the securities and financial industry requires contracts to be negotiated, agreements to be drawn up, records to be created and manuals to be written. That said — these documents required to do business serves more than just a business function. They serve as evidence.

At JLG, we provide a comprehensive range of proactive services designed to help clients avoid problems and effectively manage all types of corporate agreements, contracts and other necessary forms of documentation.


Services offered by our firm and professional staff include advice and services related to the negotiation and drafting of new broker-dealer contracts or agreements; review and analysis of proposed contracts or agreements; and a review of existing contracts, agreements and other documents to ensure their compliance, with current regulatory requirements — with an eye toward future protection.

Jacko Law Group assists clients throughout the United States with the negotiation, drafting, and analysis of contracts, agreements and other types of corporate documents.

An abbreviated list of the various contracts and other documents we can negotiate, draft, evaluate or revise may include:

  • Broker-dealer client contracts
  • Broker-dealer selling agreements
  • Broker-dealer independent contractor agreements
  • Broker-dealer employee agreements
  • Finder's agreements
  • Investment adviser-client contracts
  • Sub-advisory agreements
  • Investment adviser independent contractor agreements
  • Investment adviser employee agreements
  • Solicitor's agreements and solicitor's disclosure document
  • Third-party service provider contracts
  • Nondisclosure agreements
  • Qualified investor subscription agreements
  • Limited liability agreements
  • Operating agreements
  • Asset and stock purchase agreements
  • Distribution and franchise agreements

For more information or to speak with a securities attorney — contact our San Diego law office directly at 619.298.2880 or contact us online.


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