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| Broker-Dealer Litigation and Arbitration |
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Shumaker, Loop & Kendrick, LLP represents many of the largest brokerage firms in an array of securities industry arbitration, mediation, and litigation. We have an extensive practice defending broker-dealers, investment professionals, and financial institutions on matters relating to contracts and industry specific employment and compliance issues in arbitration proceedings before FINRA and state and federal courts. Our attorneys advise and counsel on all regulatory compliance and securities laws relating to broker dealers.
Advice, Counsel, and Litigation of Recruitment Practices
Arbitration and Mediation of Customer Disputes before FINRA
Compensation, Separation, and Recruitment Issues
U-5 Defamation, Raiding Disputes Between Broker-Dealers
Enforcement of Covenants and Restrictions of Employment Agreements and collection on Promissory Notes
Prosecution and Defense of Trade Secrets, Non-compete, and Non-Solicitation Agreements
Representation before State and Federal Securities Regulators
Representation Regarding Licensing Issues
Shumaker has extensive experience in recruitment issues for broker-dealers. As such, we routinely counsel brokerage firms and registered representatives regarding compliance with the Protocol for Broker Recruiting and enforcement of the terms and conditions thereof. Specific to our representation of broker recruitment, we assist national brokerage firms in growing their broker core through strategic implementation of recruiting techniques and protection for new recruits prior to and during the transition process to a new brokerage firm. The ultimate goal of this process is to ease the transition of new recruits and their client base to the new firm with the least amount of attrition while avoiding legal entanglements.
Shumaker is also able to provide our broker-dealer clients with a full range of employment law, securities, M&A, real estate, intellectual property, tax, corporate, and other advice relating to their investment banking companies. Our attorneys are licensed to practice in numerous states, at the state and federal level. |
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