In the current economic climate, FINRA is under a great deal of pressure to heavily monitor the financial industry. While holding banks and securities professionals accountable is essential, reckless and unfounded allegations can lead to the kind of self-policing that resembles a lynching.
Do Not Let Justice Be A Casualty
Justice is frequently among the casualties when the pressure is on. False accusations based on factual errors or clouded perceptions gain quick traction. Unfortunately, hardworking employees find themselves caught up in allegations of misconduct, professional ethics or regulatory violations — even fraud and criminal offenses.
Nor can even the "million-dollar producer" ignore unscrupulous brokerages and managers who will promise the world to bring over such a producer and his or her book of business — and then try to steal that book away.
Protect Your Career As A Financial Professional
This could destroy your career. Even if you are ultimately exonerated, serious charges can ruin your reputation before you even have a chance to respond. In an industry where your reputation is your currency, you can't afford to wait and see how things play out.
At The Amlong Firm in Fort Lauderdale, we are trial attorneys. We are committed to protecting your reputation, your license and your rights. Contact us by email or call 954-519-2235 to schedule a consultation.
Experienced Trial Lawyers Aggressively Defending Stockbrokers
Our firm's founders, Bill Amlong and Karen Coolman Amlong, have a combined seven decades of experience representing clients and trying cases. Between them, they have tried more than 100 cases in state and federal courts. Our team members have also resolved disputes in administrative settings and in arbitration before FINRA and its predecessor agency.
Using a hands-on, detail-oriented approach, we aggressively defend financial professionals facing serious allegations such as:
- Breach of fiduciary duty
- Material misrepresentations or omissions
- Unsuitability or failure to follow instructions
- Unauthorized trading
- Churning, front running, break point selling or margin abuse
- Securities fraud or insider trading
- Embezzlement or other criminal allegations
In addition to defending financial professionals, we also look out for the rights of those professionals who have been lied to about the benefits of moving their books of business from their former brokerages or have had their U-5s sullied by unscrupulous managers who want to keep the clients whom they have lured, but lose their financial adviser.
This is a highly regulated, complicated area of the law. We will carefully investigate the allegations against you and thoroughly review all documentation. Bill Amlong is a former investigative reporter for The Miami Herald with extensive experience obtaining evidence from public records, internal files, emails, transaction records and other sources. We will then develop a clear picture of what happened that tells a compelling story in your defense.
Contact Us Today
If your financial career is in jeopardy, don't wait. We are committed to defending stockbrokers' reputations, careers and rights. Contact us by email or call 954-519-2235 to schedule an appointment at our law office in Fort Lauderdale.