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Resolving Complex Financial Adviser Disputes With Broker-Dealers And RIAs

Moving up in the financial industry often comes with sign-on bonuses and exciting prospects of higher earning power for advisers, especially those who bring clients with them. Whether you joined a broker-dealer firm or registered investment adviser (“RIA”) to provide money management and investment recommendation services to investors, it can seem as though the sky is the limit — until you realize those persuasive promises were dishonest.

Complex disputes often arise when a financial adviser’s employer made promises to pay “upfront money,” if the adviser joined their firm and brought their clients with them. These signing bonuses frequently turn out to be a promissory note to repay the broker-dealer if the adviser leaves the company before a certain period of time.

Financial adviser disputes are intricate and best solved with the help of an experienced financial industry attorney through negotiation, arbitration or litigation. Valenti Hanley PLLC has comprehensive experience in this industry and represents financial advisers and investment advisor representatives in a variety of disputes with their broker-dealer and advisory firm employers, including claims involving:

  • Recruitment tactics
  • Employment agreements
  • Sign-on bonuses
  • Repayment of promissory notes
  • Other compliance-related matters
  • Selling away and other alleged violations of FINRA rules
  • False or misleading information on Form U5

Broker-dealers who leave financial advisers in a vulnerable position need to be held accountable for breaking their promises and other unethical practices. Our firm has in-depth knowledge of challenging RIAs and broker-dealers and protecting the rights of financial advisers.

We Provide Sound Legal Advocacy During FINRA Arbitration

Financial adviser disputes with RIAs and broker-dealers are often arbitrated before the Financial Industry Regulatory Authority (“FINRA”). When a financial adviser believes he or she was misled by the firm, they have a right to claim it would be unjust to have to repay a signing bonus.

Our attorneys have represented clients in arbitration proceedings before FINRA and in civil cases in jurisdictions around the country. Our lawyers in Kentucky have built a national practice successfully representing financial advisers in these types of disputes and have a reputation that includes winning against big firms such as Morgan Stanley.

Call Us Today To Get Started Resolving Your Dispute

Valenti Hanley PLLC has the experience to help you seek a solution to your dispute. Call toll free at 866-617-6209 to speak with an experienced attorney. You may also email our firm to arrange for a consultation.