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Financial Advisor Employment and Regulatory Cases

The Kueser Law Firm is a financial advisor lawyer representing stockbrokers, registered representatives, and other financial services professionals.  The firm represents clients in employment disputes, including cases involving forgivable promissory notes.  In addition, the firm’s financial advisor lawyer represents clients in regulatory matters and customer cases in FINRA arbitration.

Are You a Stockbroker, Financial Advisor, and Other Financial Services Representative? Are You Involved in a Dispute With Your Current or Former Employer about Your Employment or a Promissory Note?

Employment disputes in the financial services industry are often complex matters.  These disputes include repayment of signing bonuses (which firms often disguise as “forgivable” promissory notes), stock option agreements, bonuses, and non-compete agreements.  Employment cases may also involve claims of constructive termination and age, race, or gender discrimination.

Financial services firms should be civil and professional in dealing with current and former employees.  Unfortunately, that is not always the case.

The firm’s principal attorney, Jason M. Kueser is a former financial advisor.  As such, Jason understands the concerns financial advisors and stockbrokers face in an employment dispute.  Because of his past experience, he is able to relate to financial services professionals as they navigate uncertainty.  Furthermore, he is able to provide “real world” counsel in addition to legal advice.  Moreover, The Kueser Law Firm offers competitive rates and, in some cases, can offer flexible fee structures.

If you are a financial advisor, stockbroker, registered representative, or other financial services professional and you would like to discuss issues or concerns you have related to your employment or a promissory note you signed when you were recruited, please contact The Kueser Law Firm at (816) 374-5865 or complete the form below and a financial advisor lawyer will contact you.

Are You a Financial Advisor, Stockbroker, or Other Financial Services Professional Who is Being Investigated By a Regulatory Agency?

In addition to representing financial advisors in employment related cases, the firm represents clients in regulatory cases.

Regulatory investigations are a serious matter.  Specifically, regulatory investigations can result in fines, suspension, a ban from the securities business, or criminal charges.  As a result, if you are the subject of a regulatory investigation, and your firm does not provide legal counsel, you should contact an attorney to discuss your rights.

As a former financial advisor, Jason M. Kueser appreciates the concerns that come along with a regulatory investigation.  Jason works with advisors to As noted above, The Kueser Law Firm also offers competitive rates and, in some cases, can offer flexible fee structures.

If you are a stockbroker or financial advisor, you can also find additional information about securities related issues in our Resource Center.

Contact The Kueser Law Firm to Discuss Your Rights.

If you are a financial advisor, 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 below and a financial advisor lawyer will contact you.

CONTACT THE KUESER LAW FIRM

If you would like to speak with a securities attorney about an employment case or regulatory investigation, complete the form below and an financial advisor lawyer will contact you.

If you require immediate assistance, please call The Kueser Law Firm at (816) 374-5865.

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