Lawyer For Securities Industry Professionals In The New York City

Arbitration panels of The Financial Industry Regulatory Authority, Inc. (“FINRA”) decide the great majority of Wall Street employment-related disputes. At the Law Offices of David S. Rich, LLC, we have extensive experience representing employees in the securities industry in employment-related arbitration proceedings against brokerage firms before FINRA. So, too, at the Law Offices of David S. Rich, LLC, we have extensive experience representing professionals in the securities industry in investigations and formal disciplinary actions brought by FINRA.

We regularly assist professionals in the financial services industry in:

• Preparing, revising, and negotiating employment contracts
• Counseling and providing guidance during the employment relationship
• Drawing up, revising, and negotiating employment separation agreements
• Litigating, arbitrating, and resolving disputes
• Applying for severance benefits under financial services firms’ written severance pay plans, and appealing denials of applications for severance benefits under such plans

We commonly prosecute and defend, on behalf of employees in the securities industry, these types of FINRA arbitrations against brokerage firms:

• Unpaid Bonus Claims
• Unpaid Commissions Claims
• Wrongful Termination Claims
• Restrictive Covenants
• Promissory Note Cases
• Indemnification and Contribution of Customer Claims
• Form U-5 Expungements

We regularly represent brokers and financial advisors in all stages of investigations and formal disciplinary actions brought by FINRA, including:

• Drawing up the required, signed statements in response to the charges
• Researching FINRA’s Sanction Guidelines, published decisions of FINRA’s Office of Hearing Officers (“OHO”), and published decisions of Administrative Law Judges (“ALJs”) in proceedings before the U.S. Securities and Exchange Commission (the “SEC”) to develop legal defenses and to identify mitigating circumstances
• Preparing the brokers for on-the-record interviews and participating as the brokers’ counsel
• Negotiating settlements through Letters of Acceptance, Waiver and Consent (“AWCs”)
• Answering disciplinary complaints and litigating FINRA disciplinary hearings

Some of the categories of executives and professionals in the securities industry whom we frequently aid are:

• Investment bankers
• Investment banking sales agents and traders
• Stock, bond, options, derivatives, currency, commodities and futures traders
• Brokers
• Floor brokers
• Financial analysts and research analysts
• Financial services sales agents
• Other financial services employees

If you are an employee in the securities industry in the New York metro area and you believe that you have been wrongfully terminated, you believe that you’ve been denied salary, bonuses, commissions, or other wages that are owed to you, you are negotiating your employment agreement, you have received, from FINRA, an inquiry letter, or FINRA has brought a formal disciplinary action against you, call the New York City Attorney for Securities Industry Professionals David S. Rich at (347) 418-0672 today.