COVID-19 Update: How We Are Serving and Protecting Our Clients.

Financial Industry Employment Disputes

Rich, Intelisano & Katz represents high level employees in the financial services industry in disputes with firms and in investigations by self regulatory organizations. We have represented senior managers, traders, investment bankers, portfolio managers, hedge fund managers, analysts, retail brokers, private bankers, investment advisors, institutional salespersons and top level back office personnel.

The majority of the Financial Industry Employment Practice cases have focused on compensation disputes, including year-end bonuses. For example, in December 2010, our attorneys won a $2.8 million FINRA arbitration award against UBS in a compensation dispute on behalf of a senior recruiter. The award was 150% of the compensatory damages alleged. We have also successfully resolved scores of cases related to unpaid compensation and bonuses.

The Firm also represents high level executives and elite brokerage teams in transitions from one firm to another, including negotiating exit packages, up front bonus agreements and employment agreements. We have represented many private wealth management teams in forgivable loan and promissory note cases.

Our Firm’s attorneys have successfully represented numerous employees in regulatory investigations by the SEC, CFTC, FINRA (and the NYSE and NASD), and other regulatory bodies. We have also handled cases involving unlawful discrimination, wrongful termination, fraudulent inducement, U-5 defamation, non-compete agreements, non-solicitation agreements, severance packages, and TRO’s and injunctive relief.

Contact Us