Financial Professional Employment Disputes

Financial Professional Employment Disputes

Employment law disputes can happen in any industry or occupation. In the securities investment and financial products arena, there are many industry-specific nuances that may confound general employment law attorneys. The structure of the securities industry related to compensation packages, registration and licensure issues, and arbitration requirements can all combine to complicate the resolution of financial professional employment disputes. It is critical to work with a powerful and experienced lawyer who has a strong command of both employment law and the unique problems that can arise in securities arbitration and litigation matters.

We Fight To Achieve Meaningful Results

Girard Bengali, APC, with offices in Los Angeles, Newport Beach, and San Francisco, is a securities law firm that is dedicated to obtaining optimal results for each individual client. With years of experience handling these types of matters, we represent financial and securities industry professionals in employment-related disputes with broker-dealers, advisory firms and other financial institutions.

In addition to general employment law problems, we have the particular knowledge and valuable experience to effectively resolve the unique issues financial professionals face, including:

  • Disputes involving employee forgivable loans (EFL), retention agreements and promissory notes
  • Wage and hour, bonus and compensation disputes
  • Expungement of Forms U4 and U5, CRD and BrokerCheck information
  • Whistleblower claims
  • Broker protocol issues
  • Registration and disclosure issues
  • Noncompete, nonsolicitation and trade secret disputes

Our attorneys have significant experience representing clients in FINRA, AAA, JAMS and other arbitration forums, as well as in state and federal courts throughout California. We have earned a stellar reputation for our in-depth knowledge of the securities industry, our aggressive and effective advocacy and unparalleled service to our clients.

Contact Our Employment Law Dispute Resolution Lawyers For Solid Results

For strategic and aggressive legal representation call 866-778-6821, or send us a message online now. We have conveniently located offices in Los Angeles, Newport Beach, and San Francisco. We represent financial professionals throughout California and nationwide.