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Employment Law                                                                                  


U-5 Issues


Our firm advises securities professionals on disclosure issues concerning Form U-5, the Uniform Termination Notice for Securities Industry Registration. When a securities professional’s employment at a brokerage or investment firm is terminated for any reason, the employer completes a Form U-5 and the resulting information is submitted to a central database by FINRA.

A negative U-5 review can have lasting effects on a professional’s career, resulting in loss of clients and difficulty attaining new employment. An employee may object to what the employer has written on his or her U-5, and if FINRA determines the disclosure was inaccurate, the employer may be ordered to correct the U-5.


If you believe a former employer has entered false and damaging information on your U-5, please contact our office to discuss your available options.




Discrimination in the workplace, which occurs when an employee or candidate faces unequal treatment, can take many forms including prejudice based on age, ethnicity, gender, sexual orientation, disability and religion.

New York discrimination laws, as well as federal laws like Title VII of the Civil Rights Act of 1964, prohibit direct and indirect discrimination by employers in every aspect of employment. That encompasses hiring and termination, compensation, use of company facilities, training programs, etc.


If you feel that you are the victim of such practices, please contact our office to reach an attorney capable of handling the complex litigation process involved in protecting individuals from the harmful effects of employment discrimination.


Sexual Harassment


Sexual harassment in the workplace includes knowingly unwelcome behavior, such as sexual advances or verbal and physical conduct that produces an offensive work environment for employees of either gender. In order to be protected by sexual harassment laws, you are required to make it clear to the harasser that you do not want his or her behavior to continue.

If you simply ignore the behavior, it may jeopardize your ability to take advantage the legal defenses available to you in the future. If you believe you are being sexually harassed at work, please call our office to discuss your options.


Other Employment Disputes


Besides harassment, discrimination, and U-5 issues, employment issues also include:

  • Overtime, Wages and Compensation Disputes

  • Employment and Severance Agreements ⁄ Contracts Disputes

  • Whistleblower Law

  • Non-competition Agreement Disputes

  • Confidential information/Trade Secrets Agreements Disputes

  • Independent Contractor Issues

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