Employment Law Disputes

Employment claims brought by securities industry participants involve issues unique to the securities industry. Having represented broker-dealers and registered representatives, we have substantial experience with these disputes and have prosecuted claims for Form U5 expungement, enforcement of employee loans, and broker-dealer raiding.

 

Over the past six years, our principal attorney has obtained arbitration awards on behalf J.P. Morgan Securities LLC, inclusive of interest and attorney’s fees, in cases where the financial advisor was either the claimant or counterclaimant and was seeking millions of dollars in damages based upon claims that the firm had “burned” his book, breached the employment contract and/or fraudulently induced the financial advisor to leave his prior firm and join J.P. Morgan Securities.

 

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