Unfortunately, troubled economic times can result in a variety of issues in various areas of law related to finance, investments, and employment.
Our firm has recently handled cases in which we were successful in achieving redemptions of Auction Rate Securities for clients by leading investment banks. In addition, we have represented numerous brokers and investment and financial advisors that have had to make difficult choices regarding their careers and future places of employment. We have negotiated “workout” and settlement agreements with investment banks on behalf of brokers who were confronted with non-compete agreements, and are litigating cases against firms on behalf of brokers where we believe the non-compete clauses are unenforceable. We have been, or are, litigating these cases in court, where appropriate, or before FINRA.
We have also represented both employers and employees in almost every conceivable area of Employment Law, including employment discrimination cases.
We recently obtained a successful defense jury verdict on behalf of a financial advisor who was sued by an investor arising out of a claim of negligence during the global financial crisis of 2008. The jury returned a verdict favorable to our client after an hour and 15 minutes of deliberation.
If you are a consumer, employee, or broker/advisor confronted by issues related to finance, securities, or employment law, please feel free to contact us.