Stock Brokers, Financial Advisors, and Other Financial Services Representatives:  Are You Involved in a Dispute With Your Current or Former Employer or Are You Being Investigated By a Regulatory Agency?

In addition to representing individual investors in arbitration and litigation, The Kueser Law Firm has experience representing stockbrokers, registered representatives, and other professionals in the financial services industry in employment disputes, as well as inquiries by securities regulators. 

Regulatory investigations are a serious matter and can result in fines, a suspension of your license, being barred from the securities business, or criminal charges.  As a result, if you are the subject of a regulatory investigation, and legal counsel is not provided by your firm, it is generally a good idea to contact an attorney to discuss your rights and obligations.

Employment disputes for financial services professionals often involve matters related to signing bonuses (which are often disguised as “forgivable” promissory notes), stock option agreements or other bonus compensation, non-compete agreements, constructive termination, and age, race, or gender discrimination.  Joining, working for, or leaving a financial services company should be conducted in a civil and professional manner.  Unfortunately, that is not always the case.

Description of question/request If you would like to speak with an attorney, please complete this form and someone will contact you.

As a former financial services professional, Jason M. Kueser understands and appreciates the concerns that come along with a regulatory investigation or that pertain to an employment dispute.  As such, he is able to provide “real world” counsel in addition to legal advice.  In addition, the firm provides competitive rates and, depending on the circumstances, may be able to offer flexible fee structures.

If you are a stockbroker, registered representative, or other financial services professional who is the subject of a regulatory investigation, or if you feel that you need to discuss issues or concerns that you have related to your employment with a financial services company, please contact The Kueser Law Firm at (816) 374-5865 or complete the form to the right and we will contact you.