Financial Services

Timely and practical counsel puts you in a position to profit

We are vigorous and effective advocates for clients confronting the complex challenges raised by doing business and employing individuals in the financial services industry.

Our litigators aggressively assert, protect, and defend our clients' interests and reputations before state and federal courts, state and federal regulatory agencies, securities exchanges, and self-regulatory organizations. We also provide full representation in the areas of employment, mergers and acquisitions, real estate, intellectual property, tax, corporate, data protection, and operational matters. Our lawyers have helped national brokerage firms grow their broker-dealer teams through strategic recruiting techniques and protection for new recruits while avoiding legal entanglements.

Our Services

We advise, counsel, litigate, and/or arbitrate:

• Financial services recruitment practices disputes
• Employment separation issues
• Trade secrets, non-compete, and non-solicitation agreements
• Raiding disputes
• Promissory note disputes
• Data breach issues
• Trading and licensing issues and regulatory and disciplinary matters before state and federal securities regulatory agencies, securities exchanges, and other self-regulatory organizations
• Drafting employment documents
• Initiation of financial services industry business entities
• Defense of "garden leave" or "notice" provisions in employment contracts
• Mediation, negotiation, and alternative dispute resolution of financial services industry cases
• Employment law issues
• Customer disputes against broker-dealers in arbitration and in court
• Compliance with and enforcement of terms of the Protocol for Broker Recruiting and restrictive covenant compliance in non-Protocol transitions