Financial Professional Employment Matters
Marquardt Law Office LLC represents registered representatives in employment related disputes.
Registered representatives may accept a promissory note when joining a firm and bonuses are often a large part of their compensation. When representatives leave a firm or are terminated, disputes may arise over whether they are due a portion of their bonus or are required to repay their promissory note.
Employment contracts may protect representatives’ financial interests in such disputes. Contracts may also protect representatives from termination by limiting the reasons they may be terminated. Even where no contract exists, laws or public policy may protect representatives who were treated unfairly.
These disputes are generally handled in FINRA arbitration, and Marquardt Law Office LLC has experience in this forum. Call the firm to discuss your employment dispute matter.