Since 1988, Bachner & Associates, P.C., has provided effective legal representation for stockbrokers, securities professionals, financial institutions and organizations. Our lawyers are well-versed in the regulations and in the many unique issues securities professionals encounter.
With offices in the heart of New York City's financial district, we serve clients in the United States and around the world. Call us at 917-639-5370 or toll free 877-388-6461, or send us an email.
A Thorough Understanding Of New York Securities Employment Law
While employment law issues such as wrongful termination, discrimination and harassment arise in every industry, there are certain issues that only arise in the context of employment in the securities industry. These include defamation on Forms U-4 or U-5 as well as defense against temporary restraining orders seeking to enforce noncompete clauses or nonsolicitation agreements. In addition, brokers who leave a firm early may be faced with repayment of a forgivable loan or promissory note depending on employment agreement terms.
Securities professionals are also occasionally faced with white collar criminal charges such as:
- Securities violations
- Stock fraud and various types of stock manipulation
- Breach of fiduciary duty or broker fraud
- Unauthorized or insider trading
At Bachner & Associates, P.C., our attorneys have significant experience defending these types of charges in both state and federal courts.
Our firm also represents individuals in the securities profession in their regulatory matters and arbitration issues, including matters dealing with the SEC, NYSE and FINRA. These securities matters may involve professional licenses, accusations of fraud or complaints by investors.
Contact Bachner & Associates, P.C.
If you are a member of the securities industry facing employment law issues, schedule a consultation with one of our knowledgeable attorneys to learn how we can help. Contact our Manhattan office online, or call 917-639-5370 (or toll free at 877-388-6461).