David Nicholas FerriReviewsout of 3 reviews

Employment Disputes and Arbitration / Regulator Defense

EMPLOYMENT DISPUTES

FINRA Members and Registered Representatives who have an employment dispute, whether it involves wrongful termination, promissory notes, or a U-5 Issue will almost always be required to arbitrate under FINRA ADR. Litigation is never ideal for either party and a quick resolution, which allows everyone to return to their respective business, is almost always best for all. Sometimes this isn’t possible, but we do our best to demonstrate why it could be. We’d be happy to review and advise your case and if need be can provide litigation experience.

Here are some common issues we can assist with:

  • Fair Labor Standard Act (FLSA) violations
  • Promissory Notes
  • Restrictive Covenant Agreements
  • Non-Qualified Executive Compensation Plans
  • Commission Disputes
  • Unpaid Compensation
  • Executive Termination
  • Defamation
    U-5 Issues

If you’re having an employment / labor issue or need advice in preventing a potential concern, CONTACT US.

ARBITRATION & REGULATORY DEFENSE

At West Legal Group, we will selectively defend individual advisors / brokers and member firms who are wrongfully named in arbitrations.

Additionally, we have experience in assisting with FINRA 8210 requests, Securities & Exchange Commission (SEC) requests, including Well’s Notice and regulatory defense. We have a robust of experts, current and retired industry professionals and our internal legal team, some of who have been SEC and FIRNA licensed that can provide the insight you need to determine your best course of action.

Please complete this form for more information and we will contact you to discuss your individual case.

Client Reviews

Their work pays close attention to the importance of having everyone on the same page and having the client in charge and fully informed.

David and Tim have been retained by me for one year to negotiate significant domestic and international settlements, and they have shown and used when doing so the requisite skills which have moved settlements toward favorable results. They are at their best when preparing and evaluating cases, when using appropriate tactics, when using countermeasures, when making first offers, when in direct examinations, cross examinations, and when in the examination of expert witnesses. Their writing is marked by being direct and precise, by blending precision with simplicity. David and Tim are particularly sensitive to complex moral situations, where no rule of thumb applies, no simple appeal to a single principle can assure a rational outcome. In such an instance they can be counted on to sort out the conflicting factors to determine what law, rule, or principle bears upon the situation, and what are the relative urgencies which govern a timely action. David and Tim command a family of intellectual traits and abilities which allows them to cope with the unexpected, grasp relations, and solve problems with speed and originality. Especially pronounced among their intellectual traits is their ability to create a congenial, professional relationship with their clients wherein written reports are delivered without fail on a designate date to a designated site to coincide with or be separate from timely discussions. Their work pays close attention to the importance of having everyone on the same page and having the client in charge and fully informed. I am a retired California State Senator who has hired and dealt with a number of skilled attorneys at law in the private and public sector. I have place David and Tim among the best of them and have in writing this statement measured them against this lot.

Daniel

West Legal Group PC
5
2020-12-02T12:29:31-05:00

Daniel

David and Tim have been retained by me for one year to negotiate significant domestic and international settlements, and they have shown and used when doing so the requisite skills which have moved settlements toward favorable results. They are at their best when preparing and evaluating cases, when using appropriate tactics, when using countermeasures, when making first offers, when in direct examinations, cross examinations, and when in the examination of expert witnesses. Their writing is marked by being direct and precise, by blending precision with simplicity. David and Tim are particularly sensitive to complex moral situations, where no rule of thumb applies, no simple appeal to a single principle can assure a rational outcome. In such an instance they can be counted on to sort out the conflicting factors to determine what law, rule, or principle bears upon the situation, and what are the relative urgencies which govern a timely action. David and Tim command a family of intellectual traits and abilities which allows them to cope with the unexpected, grasp relations, and solve problems with speed and originality. Especially pronounced among their intellectual traits is their ability to create a congenial, professional relationship with their clients wherein written reports are delivered without fail on a designate date to a designated site to coincide with or be separate from timely discussions. Their work pays close attention to the importance of having everyone on the same page and having the client in charge and fully informed. I am a retired California State Senator who has hired and dealt with a number of skilled attorneys at law in the private and public sector. I have place David and Tim among the best of them and have in writing this statement measured them against this lot.

He took his time and really worked with us to make sure we were informed.

David helped explain how I needed to create and start my company from formation to getting investors. He took his time and really worked with us to make sure we were informed. He also stressed we get it right on the first go around as changing important issues later could be costly.

Lydia

West Legal Group PC
5
2020-10-28T15:12:36-04:00

Lydia

David helped explain how I needed to create and start my company from formation to getting investors. He took his time and really worked with us to make sure we were informed. He also stressed we get it right on the first go around as changing important issues later could be costly.

We were told if David couldn’t understand these investments no one could. They were right.

Our office brought David in to help with investment related problems associated with a large client. He was referred to us by another attorney in San Diego. We were told if David couldn’t understand these investments no one could. They were right. He met with us and took his time explaining the best way to handle. The client ended up hiring his firm also. We will be using him again.

Roger

West Legal Group PC
5
2020-10-28T15:12:11-04:00

Roger

Our office brought David in to help with investment related problems associated with a large client. He was referred to us by another attorney in San Diego. We were told if David couldn’t understand these investments no one could. They were right. He met with us and took his time explaining the best way to handle. The client ended up hiring his firm also. We will be using him again.

David helped my family recover against the firm and they settled before court date.

A broker had placed my mother's retirement savings in several high risk investments that lost value almost immediately. We weren't aware of these investments until after she passed away. David helped my family recover against the firm and they settled before court date.

Dennis

West Legal Group PC
5
2020-12-02T12:29:57-05:00

Dennis

A broker had placed my mother's retirement savings in several high risk investments that lost value almost immediately. We weren't aware of these investments until after she passed away. David helped my family recover against the firm and they settled before court date.
5
4
West Legal Group PC

Offices

1800 Century Park East, Suite 600
Los Angeles, CA 90067

1455 Pennsylvania Ave NW, Suite 400
Washington, DC 20004

Contact Us

  • Serving Clients Nationwide in Securities Arbitration

  • Free Consultation

  • Effective Case Management

Fill out the contact form or call us at (866) 975-TRADE (8723) to schedule your free consultation.