Industry Representation in Arbitration
Investment professionals and/or their firms often have employment-related disputes that are subject to mandatory arbitration. Typically, the responsibilities and obligations of the parties to these disputes are set forth in offer sheets, employment agreements, firm policies, and/or the rules and regulations governing the securities industry.
While it is not possible to list all the areas in which investment professionals and/or their firms can find themselves in a dispute, some of the more common disputes involve:
- U-5 Filings and Expungement
- Wrongful Terminaion
- Compensation, Restricted and Unvested Compensation, Bonuses and Loans
- Restrictive Covenants
Freiberger Haber LLP offers counsel to, and representation of, investment professionals and/or their firms in a wide array of employment issues, both to avoid arbitration, and to institute or defend actions when necessary. Contact us for more information about the services the Firm provides.