New York: (347) 941-0760

Law Offices Of David S. Rich - Employment lawyer

Text Us: (347) 389-7755

New Jersey: (201) 740-2828

Law Offices Of David S. Rich - Employment lawyer

Text Us: (347) 389-7755


Lawyer For Securities Industry Professionals In the New York CityArbitration 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:

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

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

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, bonusescommissions, 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.

David Rich

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New York (347) 941-0760 |
New Jersey (201) 740-2828