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Finance Industry Professionals Representation

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.

Contact Us Today

If you fear that your financial career is in jeopardy, don’t wait to reach out to a Fort Lauderdale finance industry professionals representation lawyer. At The Amlong Firm, we are committed to defending stockbrokers’ reputations, careers, and rights.

Contact our firm online or by calling (954) 953-5490 anytime for assistance and to schedule an appointment with one of our attorneys.

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