Broker-Dealer Transition Assistance and Litigation

Building on our lengthy and established stronghold in the securities industry, our attorneys have decades of experience assisting financial advisors transition between broker-dealers.  During the past 5 years alone, our attorneys have assisted well over one hundred financial representatives/teams transition over $10 billion in assets.

In addition, our attorneys have significant experience litigating employment disputes including claims regarding Form U5 defamation, non-compete and non-solicitation agreements, forgivable loans, promissory notes, raiding, TROs and other injunctive relief, discrimination, retaliation, whistle-blowing and employment matters