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.