Banks, Brokerage Firms, Investment Advisors

Financial Services

We represent one of the largest investment firms in the world and are retained to advise potential hires to navigate the Protocol for Broker Hiring. Sometimes these engagements result in brief federal court injunction litigation, and then move to arbitration before FINRA on contract issues, non-solicitation and non-competition issues, and defense of promissory note claims by the former firms.

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We have served clients in this sector, both individuals and firms, involved in securities fraud claims, fiduciary duty breaches, and expungement proceedings before FINRA. And we have defended clients against million dollar loan defaults, enforcement of security interests, and also sued to recover on negotiable instruments. We represent financial advisors and investment advisors in expungement proceedings before FINRA and in relevant court proceedings, including arbitrations involving customer disputes, commission payments, and against claims by their firms for overpayment of commissions.