Financial Industry Representation

We represent financial professionals and firms in FINRA industry arbitrations, employment disputes, and compliance & regulatory matters.

Legal Representation for Financial Advisers and Brokerage Firms

We provide comprehensive legal services to financial advisers and brokerage firms. Our firm is skilled in addressing the unique complexities of the financial industry, offering tailored solutions for disputes, compliance, and regulatory matters.

Litigation, FINRA Arbitrations, and Employment Disputes

The intricacies of litigation, FINRA arbitrations, and employment disputes require experienced guidance. Our knowledgeable attorneys stand ready to assist with:

  • Unfair Competition and Non-Compete Agreements (Restrictive Covenants)
  • Raiding and Pirating Cases
  • Promissory Note and Forgivable Loans (Sign-On Bonuses and Others)
  • Wrongful Termination Claims
  • Discrimination & Harassment
  • Claims Involving Statutory Discrimination and Whistleblowing
  • Defamation Claims

Compliance and Regulatory Matters

The regulatory landscape of the financial industry is in constant flux. Staying compliant is vital, but can be a complex task. We offer reliable guidance and representation in areas such as:

  • Regulation Best Interest (Reg BI)
  • Expungement of Wrongful U-4/U-5/U-6 Statements
  • SEC Subpoenas & Regulatory Investigations
  • FINRA 8210 Requests, Investigations & Hearings
  • Wells Notice Responses
  • State Regulatory Investigations & Disciplinary Hearings
  • Audits & Regulatory Investigations
  • Governmental, Regulatory and Self-Regulatory Proceedings
  • Dodd-Frank Whistleblower Protections
  • Drafting & Negotiation of Employment Agreements, Handbooks & Policies
  • Cooperation in Criminal, Civil, and Regulatory Matters

We can help you navigate through regulatory scrutiny, maintain compliance, and manage potential risks, helping you operate your business within the confines of the law.

Count On Us

Our experienced lawyers offer an extensive knowledge base and exceptional client service. We are advocates, negotiators, and strategic advisors with a comprehensive understanding of the financial industry. Our firm is uniquely positioned to provide effective legal solutions custom-fit to your needs.

Partner with us and let our knowledge be your strength. Contact us today for a consultation.

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