Securities professionals face unique issues when it comes to employment. At Bachner & Associates, P.C., we have represented industry professionals in litigation involving wide range of employment issues, including breach of employment contracts, wrongful termination and compensation disputes. We represent both employees and employers in New York City and throughout the country. To discuss your concerns with one of our attorneys, call 917-639-5370 or toll-free 877-388-6461, or use our online contact form.
Significant Experience In The Securities Industry
Since 1988, our firm has handled cases pertaining to securities matters and to white collar crime. For employment law, we represent brokers and securities professionals as well as corporations in lawsuits for bonuses that were not received or forgivable loans due at termination of employment. If the employee has signed a non-compete clause or non-solicitation agreement, our lawyers can assist in obtaining or defending against a temporary restraining order (TRO) to enforce the agreement.
Disputes Arising From Forms U-4 And U-5
Moreover, our firm regularly advises registered representatives on issues concerning Forms U-4 and U-5, including Form U-5 disclosure issues. These forms are completed by the employee and the employer, and are entered in the nationwide Central Registration Depository System. Occasionally, an employee objects to what the employer has written on their U-5 after termination, so we handle libel and defamation claims (depending on the laws of the particular state) resulting from these disclosures. Money damages may be available if the disclosure was not in good faith.
Form U-4 issues arise when a broker wants to register in another state. The employer files a U-4 with FINRA, and the state can choose to approve or deny the application or ask for more information. We handle cases where additional information is requested or difficulties are encountered in the effort to become licensed in a particular state.
Discuss Your Employment Law Issues With Our Attorneys
To schedule a consultation with Bachner & Associates, P.C., contact us online or by phone at 877-388-6461 (toll free) or 917-639-5370. Our offices are conveniently located in Manhattan's financial district.