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