At Harrison, we recognize that disputes within the securities industry are highly complex and sensitive, often carrying significant implications for brokerage firms and industry professionals alike. Issues such as compensation disagreements, client complaints, bonus loan balances, and wrongful termination are common and can lead to significant consequences if not addressed properly. Proper resolution of these issues is crucial to prevent lengthy, public litigation that could negatively impact professional reputations, compensation, and future opportunities in the industry. It is crucial to have seasoned legal guidance to navigate these complex situations and secure a favorable outcome.

We have built a strong reputation for providing exceptional legal support to both brokerage firms and industry professionals caught in securities industry employment disputes. Our team has the knowledge to successfully represent clients across all aspects of securities industry employment litigation, ensuring their rights are upheld and their interests are vigorously defended.

Our Capabilities in Handling Employment Disputes

Our capabilities cover a broad range of issues, including wrongful termination claims, compensation disputes, and Form U5 issues. We adopt an aggressive yet strategic approach to every case, aiming to achieve the best possible outcome for our clients. Whether your case is resolved through negotiation, arbitration, or court litigation, we are committed to standing by your side, protecting your reputation, and advancing your best interests.

If you are a brokerage firm, registered representative, or advisor involved in an employment-related regulatory inquiry, investigation, or proceeding, do not delay in seeking skilled legal guidance. Contact Harrison for a confidential, no-cost case evaluation.

Common Issues in Securities Industry Employment Disputes

At Harrison, we are proficient in handling a wide array of issues within securities industry employment disputes, including:

Broker-Dealer Raiding:This occurs when competing firms aggressively recruit employees from another firm, sometimes resulting in litigation. We are adept at managing both sides of raiding claims, ensuring our clients’ interests are protected.
Employee Forgivable Loans (EFLs): Offered as incentives to high-level hires, these loans become due if the broker leaves or is terminated within a certain period. Whether enforcing an EFL agreement or defending against repayment claims, we provide robust legal support.
Form U4 and U5 Issues: Inaccuracies or damaging information in these forms can lead to FINRA investigations and affect employability. Our form U5 lawyers assist in contesting such information and provides guidance on related defamation claims, expungement procedures, and more.
Restrictive Covenants: Employment contracts often contain clauses preventing brokers from working with former clients or divulging confidential information. Whether contesting or enforcing these covenants, we offer legal assistance.
Wrongful Termination: Our attorneys are proficient in handling cases where brokers have been unlawfully terminated, ensuring your rights are upheld and justice is served.
Unpaid Bonuses and Deferred Compensation: If you're facing a dispute over unpaid bonuses or deferred compensation, our legal team is ready to fight on your behalf, ensuring that you receive the compensation you're entitled to.

Time is often crucial in these disputes. Don’t hesitate to reach out to Harrison for a confidential, no-cost case evaluation.

How Harrison Can Assist You

Harrison is recognized for its thorough experience in handling a variety of securities industry employment disputes. Whether you are an individual or a firm, our attorneys are committed to representing your interests and defending your rights. Here’s how we can help:

Comprehensive Experience: Our team has extensive experience addressing a wide range of disputes, from broker-dealer raiding claims to wrongful termination.
Tailored Legal Strategies: e customize our approach to suit your specific circumstances, whether through negotiation, arbitration, or litigation.
Dedicated Representation:We understand the high stakes involved in these disputes and are committed to fighting on your behalf.

Remember, the best defense is a good offense. If you’re involved in a securities industry employment dispute, don’t wait for the situation to worsen. Contact Harrison today for a confidential, no-cost case evaluation. Our dedicated team is ready to help you navigate these complex issues and achieve the best possible outcome.

Contact Harrison Today

Don’t let a securities industry employment dispute disadvantage you. Whether you’re an individual broker or a large brokerage firm, Harrison is equipped to help you navigate these complex issues effectively. Our experienced attorneys understand the high stakes involved and are committed to providing you with top-tier representation and personalized attention.

Ready to take the next step? Contact Harrison today for a confidential, no-cost case evaluation. We’re here to listen, advise, and fight for your rights.

Contact Us for more information or to get started on resolving your dispute. Remember, the sooner you act, the better your chances of achieving a favorable resolution.

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