Fort Lauderdale Lawyers for Finance Industry Professionals
Don’t Let Justice Become a Casualty
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.
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.
At The Amlong Firm, our finance industry professionals representation attorneys in Fort Lauderdale, we are skilled trial lawyers. We are committed to protecting your reputation, your license and your rights.
Contact us online or by calling (954) 953-5490 to schedule a consultation.
Protect Your Career as a Financial Professional
Let’s be honest: 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.
Our team members have 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:
- Negligence
- 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. We will then develop a clear picture of what happened that tells a compelling story in your defense.
Hear From Our Happy Clients
At The Amlong Firm, your satisfaction is our priority! See for yourself what our clients have to say about working with us.
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“Not only knowledgeable on the substantive areas of the law, but also well-versed and skilled as a trial lawyer. I fully endorse this lawyer.”Attorney Arthur S. (Endorsing Karen Amlong)
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Ms. Amlong represented me as a 16b officer in a public company in a labor and harassment suit against my former employer. We were up against a giant with a powerful NY law firm across the table. Her experience and expertise allowed her overlook their intimidation and shame tactics and as a result, she was able to keep me calm and focussed on what was important versus reacting emotionally to their nonsense. While the matter was resolved under confidential terms, I was extremely pleased with Karen's strategy and results from same. I would highly recommend her.Vickie A.
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Karen is experienced, sharp, and driven by a pure and unrelenting sense of justice. During one of the hardest times in my life, she was a beacon of trust and strength. I recommend her in the strongest terms.Tannen C.
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“She fights for her clients and tries her best to ensure your rights are being protected. The decision to obtain Mrs. Amlong was the best choice I could have made dealing with my case.”Curtis (Race Discrimination)
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“The institution that I work at had falsely accused me of violating a communication policy and tried to make an example of me to other employees. I would have lost my job had it not been for Karen. Karen was patient and professional in her communication.”Danny (Job Rescue)
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“I decided to take action against the sexual harassment, hostile working environment, and retaliation that I faced while working as a firefighter. They were very transparent on how tough and long this process could take when attempting to go against a City.”Melissa (Sexual Harassment, Gender Discrimination, Retaliation)
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Bill and Karen Amlong are the best employment lawyers that I know. I have referred them several employment related cases and they always get the job done. If you have an employment law question you should call The Amlong Firm.Sam C.
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“During one of the hardest times in my life, she was a beacon of trust and strength. I recommend her in the strongest terms.”Tannen C. (Gender Discrimination)