If you are having a dispute with your employer/broker dealer or registered investment advisor we can help protect your rights.  We represent registered representatives and investment advisors in the following areas:

  • Employment disputes with your broker/dealer or registered investment advisor
  • Forgivable note disputes
  • U4 or U5 disclosures or disparagement
  • Wrongful termination
  • Compensation cases
  • Expungement of inaccurate CRD disclosures
  • Disciplinary proceedings before the SEC and FINRA
  • Misappropriation of client accounts
  • Interference with business relationships
  • Raiding cases

Call today for a free consultation:

800 345-1888

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