Top Securities Lawyers Skilled in Complex
Securities Industry, Employment-Related Matters

When conflicts in the workplace arise, both employee and employer benefit from seeking counsel. Those conflicts are usually resolved in FINRA arbitrations and sometimes lead to regulatory/self-regulatory investigations. As the arms-length, at-will employment environment between securities employers and employees seems to increasingly widen, there are more disputes related to wrongful termination, unpaid compensation, and Form disclosure U4/ U5 cases. It cannot be understated that in the battle to keep clients, firms and firm employees often resort to improper tactics to smear a financial professional on their way out the door leading to state, regulatory, and/or self-regulatory investigations that can impact a career.

As FINRA is funded mainly by Wall Street, the odds can appear to be stacked in favor of the brokerage firms. Therefore, experienced securities employment and industry dispute attorneys are necessary to secure positive outcomes for clients. With many tools in their arsenal and an excellent rapport with and insights into regulatory (SEC) and self-regulatory (FINRA) staff and procedures, our attorneys have a reputation for obtaining “No-Action Letters” or favorably negotiating settlements for industry professionals in communication with these regulatory bodies, voluntarily or involuntarily. If you need us to fight for your career at a regulatory or self-regulatory hearing about your license, we are experienced in fully-litigated cases with the SEC and FINRA, as well as appeals to the SEC and courts.

We help professionals transition within the workforce, which often requires skilled planning. We also help them obtain the various types of agreements, compensation, deferred compensation, stock, and options to which they are entitled. Furthermore, some professionals should be protected and indemnified by their employers, when subjected to investigations and litigation relating to their employment or former employment.

Additionally, we help clients with Form U4/U5 disclosure issues, promissory notes, non-compete agreements, and other negotiations brokers have when exiting a firm, including industry professionals who are investigated by regulatory, self-regulatory, and state examiners. From compensation and termination disputes to restrictive covenants and severance negotiations, we have your back.

Call us at (212) 943-1233 or contact us online to schedule a free consultation.