Legal Counsel For Financial Services Companies And Employees In Securities And FINRA Issues
Brick Business Law, P.A., is a well-equipped business law firm that offers a range of legal services to clients in the financial services industry. Investors, financial advisors and ERISA plan administrators and beneficiaries turn to our employment law attorneys for advice and guidance.
Brick Business Law provides information and counsel on a variety of legal issues involving securities, including contracts and compliance with regulations enforced by the Financial Industry Regulatory Authority (FINRA).
ERISA, Fraud And Retirement Funds
The federal Employee Retirement Income Security Act of 1974 (ERISA) spells out standards for most retirement and health plans in private industry. Disputes often arise between financial services personnel and their employers over compliance or noncompliance with ERISA’s standards. Employers also need representation at times when government agencies investigate their retirement offerings.
Financial services providers turn to us for cases involving investment loss or fraud concerns. Suspected fraud may involve bonds, mutual funds, stocks, 401(k)s, annuities, and other retirement vehicles.
Noncompete Agreements And Financial Service Professionals
It is one thing for employees to promise not to divulge trade secrets or take client lists if they move to other companies. It is another to fulfill all nuanced terms of such an agreement. In the financial services industry, allegations of violations of noncompete agreements are common.
Employment law legal representation is essential if you have been targeted in an investigation or lawsuit over noncompete agreements.