Bachner & Associates, P.C.

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Experienced & Aggressive Criminal Defense Law Firm

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Home » Representing Brokers & Securities Professionals

Defending Stockbrokers And Securities Professionals Since 1988

Since 1988, Bachner and Weiner PC, 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 877-388-6461 or toll free , 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:

At Bachner and Weiner PC, 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 and Weiner PC

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 877-388-6461 (or toll free at ).