Practice areas
Wrongful Termination
Wrongful termination is a firm firing a broker for an improper reason, such as reporting misconduct, refusing to break rules, or to avoid paying earned compensation. Brokers have legal options, and those disputes are usually decided in FINRA arbitration.
If any of this sounds like your account, the next step costs nothing: a free, honest evaluation. Tell me what happened or call (719) 783-0303.
Common questions
Wrongful Termination: what clients ask
Do broker employment disputes go to court?
Most do not. Disputes between brokers and their firms are generally required to go to FINRA arbitration, although some claims, such as certain discrimination claims, can be handled differently.
What can a broker recover?
Depending on the case: lost compensation, unpaid commissions or deferred pay, correction of the Form U5, and in some cases damages for defamation.
What if I was fired for reporting misconduct?
Retaliation for reporting securities violations can give rise to additional claims, including whistleblower protections under federal law.
Your move
A free evaluation has no downside other than your time.
Tell me what happened. I will tell you honestly whether you have a case worth pursuing — and every way I can be paid, including contingency: nothing unless you recover.