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Employment Disputes in the Securities Industry

What Kind of Employment Disputes Can Arise in the Securities Industry?

Just like any other workplace or industry, numerous different employment disputes arise in the securities industry. Disputes can bubble up involving promissory notes or compensation owed to an employee by an employer. Disputes can also arise when an employee is wrongfully terminated or when an employer includes misleading or untruthful information on an employee’s Form U-5.

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Who Is Involved in an Employment Dispute in the Securities Industry?

Considering the arm-length nature of most employment contracts in the securities industry, nearly anyone employed by a brokerage or advisory firm can be pulled into a dispute with their employing firm. Brokers or advisors often have disputes over transitions from one firm to another, but any employees of securities firms, like traders, analysts, executives, quants, and partners, have disputes over compensation, rules, and Forms U-5.

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How Are Employment Disputes in the Securities Industry Resolved?

The primary avenue for resolving employment disputes in the securities industry is FINRA arbitration. Less commonly, if the conduct involved in the dispute is particularly egregious, the dispute may end up before a regulatory or self-regulatory body, like the SEC or FINRA, respectively. Either way, when you end up in an employment dispute with your firm, it is highly recommended that you speak with a Securities Law Attorney that has experience in intra-industry disputes, like the ones at Malecki Law, to help guide you through the process.

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What Should I Do if I Feel Like I Am Being Set up at Brokerage or Advisory Firm?

Many employees ignore warning signs that they are in a “bad marriage” with their employer. As soon as odd questions start from your manager, supervisor, or compliance professional, you should have an experienced Securities Lawyer, like those at Malecki Law, on retainer and prepared to assist you. Firms principally are concerned with protecting themselves and do not care if it is at your expense, no matter how long you have been with them. “Scapegoat” is a word in the dictionary curated and utilized by those seeking to evade liability.

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Testimonials From Former Clients
I highly recommend Jenice and her team at Malecki Law. I had a challenging, and lengthly case. Jenice was professional, very knowledgeable, and a pleasure to work with. She managed to make the process far less stressful during a very difficult time. They care about their clients, and it definitely shows. Mario
Jenice is truly a miracle worker and one of the top securities lawyers. She handled a very difficult case for us, displaying her legal knowledge, intelligence, and savviness throughout the process. I cannot recommend her enough. The quality of work from her team rivals that of corporate law firms. She was always available, extremely professional, and made sure to know all the details of the case. We were very fortunate to have been referred to Jenice and highly recommend her for any securities related legal issues. Nathan A.
An excellent professional who represented us in trial regarding a bank fraud, an unexpected and difficult time. A professional that worked hard, persevering and who stood toe to toe against firms that had a team of excellent lawyers backing them up. Her unflinching determination really stands out, it makes you feel you have someone who really cares about trying to recover what you lost from the people that wronged you. Salomon Levi
It is difficult to thank you in words when gratitude comes from the heart, so I will try to link feelings with writing. It is essential for us to mention your excellence as a professional, your aptitude on legal fields, and your unavoidable persistence. All of these virtues that elevate the profession you exercise in such an admirable way, go hand in hand with your sense of ethics, your human warmth and the transparency in your actions. To sum up, thank you for being a listening ear and for having the right word while transmitting information about the legal process. Having you as our representative during such an adverse situation was a privilege and enough reason for our eternal gratitude. Angeles Aparain
To say that my securities litigation was complex would be a severe understatement. With multiple parties involved and spanning many years, trying to understand the issues was daunting to say the least. Jenice and her team broke down the transactions by segment and by party uncovering every hidden expense. In the end, I was more than happy and could not thank Jenice and her team enough. I would not hesitate to recommend Jenice to anyone. She is highly professional, incredibly knowledgeable, well connected to industry experts, has a tireless work ethic and is so pleasant and easy to communicate with. Five stars for sure! Andrew Loughrane