All of the traditional HR issues that arise out of the employee/employer relationship also occur in the context of the securities industry and are often the subject of FINRA arbitrations.  Our lawyers have successfully handled race, gender, and age-based claims, wage and hour claims, and unlawful termination claims before FINRA panels.

The firm also enjoys a national reputation as counsel in recruiting and employment issues unique to the securities industry.  We have successfully defended and prosecuted employment contracts and non-compete/non-solicitation provisions across the country.  Our lawyers have represented individual brokers, investment advisors, and regional and national brokerage firms as consolidations in the industry has accentuated accelerated the normal movement of employees from one firm to another.  We have also brought and defended “rRaiding” claims that occur when a number of brokers choose to move simultaneously from one firm to another.