Those who work in the financial industry are protected by and regulated by both state and federal labor laws. They are also governed by the Financial Industry Regulatory Authority (FINRA), which has been authorized by Congress to regulate various aspects of the securities industry, including enforcement and arbitration procedures.
When employment disputes occur in the financial industry employee-employer relationship, legal representatives must possess a thorough understanding of the laws at play as well as the operations of FINRA. This is paramount in the face of impending litigation or arbitration.
$35 million recovery for a family office from a brokerage firm that was alleged to have churned the client’s accounts and engaged in other wrongdoing.
$17 million in assets recovered for investor in connection with unsuitably risky derivative investment.
$13.579 million recovery from a brokerage firm that sold fraudulent securities issued by a Ponzi scheme after failing to conduct adequate due diligence of the Ponzi scheme.
At Levin Law, our Miami financial industries employment lawyers offer focused and capable legal advocacy in a wide variety of cases involving employee-employer disputes over any aspect of the financial industry and banking employment, including:
As experienced trial lawyers in Miami, we will always be prepared to take your case to trial, to bring claims in arbitration, or engage in effective negotiation tactics in mediation. Our ultimate goal is to obtain as much money for you as possible given the facts and circumstances of your situation. To that end, we will help you explore all legal options and provide the competent guidance you need throughout the duration of your case.
Contact a Miami financial industry employment disputes lawyer at (305) 402-9050 today. We look forward to speaking with you to determine your options through a free case evaluation.