We represent registered representatives, broker-dealers, RIAs, and advisors in industry disputes.
Some of the more common claims include:
- Breach of Contract
- Promissory Notes
- Libel, Slander, or Defamation
- Form U-4/Form U-5
- Wrongful Termination
- Compensation Disputes
- Post-Employment Covenants
- Wage and Hour
- FINRA Inquiries Regarding Termination
Notable Cases: FINRA Arbitrations
- Obtained dismissal of all claims in industry trade dispute. [FINRA 16-00682]
- Successfully defended broker-dealer and investment professionals in $22 million employment claim. [NASD 01-06939]
- Obtained dismissal of all claims in industry contract dispute. [NASD 01-00682]
This Website Is Not A Source Of Legal Advice. Viewing this website or sending an e-mail to the firm will not create an attorney-client relationship. The purpose of this website is to provide general information about our firm. It is not intended to provide legal advice. Attorney Advertising. Portions of this website may be considered to be, or to include, attorney advertising. Prior results do not guarantee similar outcomes with respect to any future matter that we may be retained to handle.