When your team or partnership has issues or no longer can get along, the first step may not be to seek a resolution from your manager – whose interests may not be aligned with your interests. Instead, financial advisors need to locate their team agreement and seek assistance from a competent securities lawyer familiar with employment practices within the financial services industry.
I am grateful to have found an outstanding law firm that specializes in securities matters. My lawyers were extremely knowledgeable, diligent, and are skilled litigators. No stone was left upturned. As a result of their experience and tenacity, the arbitration proceeding was dismissed in my favor.