Broker-Dealer Employment Disputes

Financial advisers often find themselves the target of an overzealous broker-dealer when the financial adviser does not act in accordance with the broker-dealer’s inappropriate demands or when the financial adviser decides to move his or her business to another firm.  Wittenberg Law will vigorously protect your rights in connection with these types of disputes, including claims regarding Form U5 defamation, non-compete agreements, non-solicitation agreements, forgivable loans, promissory notes, TROs and other injunctive relief, discrimination, retaliation, whistle-blowing, and breach of employment agreements.

If you suspect that your firm has unlawfully treated you as an employee of their firm, please contact Wittenberg Law to discuss your legal rights and options.