Securities Law

Securities Regulation, Compliance, and Employment Law

With a wide breadth of experience in securities matters, the Firm has represented Registered Investment Advisors in connection with transitioning from the broker/dealer paradigm as well as representing registered representatives in connection with employment relations and disputes with broker/dealers. The firm also represents registered representatives in regulatory and disciplinary matters before disciplinary tribunals and regulatory organizations such as the FINRA. If you have a U-5 Expungement issue or a question about your U-4 that is affecting your ability to gain full employment in the Financial Services Industry, contact the Pearl Law Firm.

The Firm also represents high level employees in the financial services industry in disputes with firms and in connection with investigations by self-regulatory organizations. We have represented senior executives, financial advisors in such matters. In addition, we assist high-end financial advisers and private wealth advisors transition from one firm to another or to join or establish an investment advisory firm.

For example, if a regulator calls for an on-the-record interview (“OTR”), the Firm will accompany the client to such interview and prepare the client for his or her testimony. Such interviews are a critical part of the investigatory process and the Firm recognizes that the client is usually unaccustomed to the process. We attempt to alleviate the anxiety associated with such an event and evaluate the regulator’s intention with regard to the investigation, usually leading to a mutually acceptable resolution.

Having represented both customers and financial services personnel in a variety of matters, often working with regulators where violations have occurred, the Firm is uniquely situated to assist its clients in achieving their goals.

Pearl Law Firm: Case Study

Our firm currently represents a top-flight broker in a wrongful termination lawsuit against the former broker dealer. We allege that the broker dealer improperly filed a false and defamatory Form U-5 against the broker and terminated the broker in breach of contract and in violation of industry standards and federal discrimination laws.

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