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Representation of Registered
Persons
In the highly regulated securities industry, even the most careful of
brokers finds themselves either the subject of an investigation by the
NASD, NYSE, SEC or other SRO or state regulators or in a dispute with
a current or former employer. Having the right counsel in such matters
can make
the
difference
between
a successful career or serious regulatory or disciplinary problems.
The Firm routinely counsels and represents registered persons in connection
with investigations and disciplinary proceedings before the NASD, NYSE,
SEC and other agencies. In addition, the Firm represents registered persons
and brokers in connection with employment related disputes with their
current or, more typically, former firms including breach of contract;
unlawful termination; discrimination claims; "raiding" and
unfair competition; promissory note and commission disputes and the increasingly
complex area of U5 defamation and libel claims.
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New
York Office
400 Park Avenue, 14th Floor
New York, NY 10022
tel: 212.688.5900
toll free: 800.496.5900
fax: 212.688.6151
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California
Office
401 West "A" Street, Suite 2330
San Diego, CA 92101
tel: 619.696.9500
toll free: 888.748.8748
fax: 619.615.5290 |
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