Broker-Dealers: Hiring Claims

Routinely, we represent registered representatives and securities firms nationwide in claims involving non-competition and non-solicitation clauses in employment agreements. We also have significant experience representing securities firms in “raid” claims and other hiring disputes. Our extensive litigation and arbitration experience on behalf of brokers and broker-dealers includes:

  • Temporary restraining orders and temporary injunctions
  • FINRA arbitration hearings
  • “Raid” claims
  • Non-competition claims
  • Non-solicitation claims
  • Trade secret claims
  • Breach of contract claims
  • Breach of fiduciary claims
  • Tortious interference claims

Broker-Dealers: Enforcement Actions

If you are a broker or registered representative faced with a disciplinary investigation or action, our Houston securities attorneys can help.

Concern over the future of your career can create significant fear and worry. We can help you eliminate the uncertainty and walk you through the process. During your initial consultation, we will listen to your concerns. We will evaluate your circumstances and determine the appropriate course of action. We will clearly explain what you can expect from us and what we will expect from you so, together, we can successfully achieve your goals.

If you are a broker/registered-representative faced with a securities arbitration claim or disciplinary proceeding, contact Moulton, Wilson & Arney, LLP for a free initial consultation.