Stockbroker Employment Cases
Greg Wood has significant experience in stockbroker recruiting, employment issues and training. During his 35 years in the securities industry, he has hired:
- Stockbrokers from the competition
- Stockbroker Trainees
- Support staff
- Operations staff
He has negotiated and enforced recruiting contracts including stockbroker training contracts and transitional compensation, “front money”, agreements. He understands the “Protocol for Broker Recruiting” that has been adopted by many securities firms. Further, as a management team member he terminated employees including stockbrokers and stockbroker trainees for failing to meet office, firm and industry standards.
As the Director of Regional Training for the firm’s southwest and pacific coast regions, he was a key figure in registered representative training who:
- Developed and implemented a unique software program that monitored and reported stockbroker trainee performance versus firm expectations
- Was a member of the training department team that developed new stockbroker training courses
- Was a member of the training department team that established training standards and benchmarks
- Pioneered the Training Delegate program, which improved branch manager leverage and trainee performance thought the firm.
- Trained and coached branch managers on the effective development of stockbroker trainees
As an expert, Greg has worked on cases involving stockbroker raiding, wrongful termination and stockbroker training contracts.