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Broker-Dealer/Registered Reps » Serving the New Jersey Counties of Morris, Essex, Bergen, and Hudson and New York Counties of New York, Kings, Queens, Bronx, Staten Island and surrounding areas

Lawyers during consultation

Firms and brokers are all too often required to defend customer complaints and regulatory investigations where investors first wanted the firm and broker to act as financial advisers, and thereafter seek to hold the law firm and broker responsible for the investor’s own decision making or unforeseeable market conditions.

Broker-Dealer/Registered Representatives

  • Represent broker-dealers and employees in customer and employment arbitrations and mediations before FINRA and other arbitration forums.
  • Represent broker-dealers and registered representatives regarding regulatory inquiries, investigations, and enforcement actions conducted by self-regulatory organizations.
  • Represents broker-dealers in “raiding” cases.
  • Provides advice and counsel on compliance and employment issues.
  • Negotiates and drafts employment agreements and transactional documents.
  • Resolves Form U5 issues.

Case Examples

Our New York and New Jersey business law team has several cases examples, in which we:

  • Secured dismissal of claims prior to hearing on motion based upon a claimants’ failure to participate in discovery and comply with order of the chairperson.
  • Secured respondents’ award denying all claims of claimant who asserted unsuitable trading, unauthorized trading, and lack of supervision against the firm and its principals.
  • Successfully defended arbitration claims where losses in the account were $655,000.
  • Successfully defend firms in actions pursuing actions to recover a debt owed from promissory notes and margin balances.
  • Successfully represented firm in the collection of a debt originated by a promissory note.
  • Successfully defended firm and principal against former employee’s claim of wrongful termination.
  • Customers alleged damages in the amount of $157,000. Arbitration award in favor of Claimants for $36,000, $12,000 of which was earmarked for Claimants’ counsel.
  • Claimant alleged damages against clients under the legal principle of successor liability. Claimant alleged damages in the amount of $154,000. Arbitration award in favor of Claimant for $4,000.
  • Successful in defending claim for repayment of money due on a promissory note, resulting in dismissal of claim; successful in counterclaiming for defamation and unfair competition, resulting in monetary award for client.
  • On multiple occasions successfully secured temporary restraining orders in court to enforce non-solicitation and confidentiality provisions in employment agreements.