Many people probably do not expect an employment issue to come before a financial regulatory agency, but when there is a dispute between a registered agent and a broker/dealer or investment institution, the parties are typically bound to arbitrate before FINRA. We recently negotiated a favorable settlement in a FINRA arbitration case in New York City.
In another notable victory, we successfully defeated a bad faith bargaining charge brought by a powerful union against an employer in the hospitality industry. We were able to defeat this charge by providing the National Labor Relations Board with a strong position statement and affidavit, saving our client thousands of dollars in further defense costs.
