The Firm has litigated, arbitrated, and mediated numerous cases on behalf of a diverse group of financial institutions and individuals involving claims of fraud, churning, suitability, breach of contract, breach of fiduciary duty, negligence, negligent supervision, overconcentration, churning, market manipulation, order failures, Regulation T violations, unauthorized trading, wrongful termination, defamation, breach of non-compete and non-solicitation covenants, tortious interference, unpaid wage claims, breach of promissory notes, partnership dissolution/disputes, and negotiations involving upfront loans, Form U-5 language, and terms of new employment.
Employment Litigation
The Firm represents securities industry personnel and broker-dealers in all aspects of employment litigation and arbitration claims. The Firm handles securities industry disputes such as promissory notes, U5 expungement and wrongful termination, whether in state or federal court, arbitration, and/or mediation, or in response to regulatory actions. A sample of the issues we can assist you with includes...