New York Securities Employment Law Attorneys
Since 1988, Bachner & Associates, P.C. has provided effective legal representation for stock brokers, 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 New York and New Jersey, we serve clients in the United States and around the world.
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 non-compete clauses or non-solicitation 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, fraud, insider trading and embezzlement. At Bachner & Associates, our attorneys have significant experience defending these types of charges in both state and federal courts.
At our firm, we also represent 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
If you have any further questions pertaining to employment law, or if you would like to speak with one of our attorneys regarding your securities litigation or arbitration issue or white collar criminal charge, contact our Manhattan office. A representative from the firm will be in touch with you shortly. We look forward to hearing from you.