Financial Advisors/Financial Industry Professionals

Financial industry professionals encounter unique situations in the workplace.  Securities/Brokerage firms have responsibilities to uphold numerous laws to their employees.

Henrichsen Law Group attorneys have extensive experience representing Financial Industry Professionals in litigation and negotiations with companies in courts as well as the Financial Industry Regulatory Authority (“FINRA”).  Our recent results speak for themselves, including a defamation judgment , successful expungements of negative broker information, and positive results in gender, race and national origin discrimination FINRA cases.

Companies may attempt to deny or withhold commissions owed by using complex formulas and commission payment plans.  However, legal protections are available to ensure that commissions agreed upon and owed are properly compensated.

Industry professionals can find themselves exposed to illegal forms of discrimination because they are not perceived by their employers as “the typical" representative. Companies that illegally discriminate against employees may either create a “glass ceiling”, prevent advancement, or refuse to hire based upon protected characteristics such as race, gender, age, disability, religion, or national origin.

Claims involving investment professionals are governed by state and federal laws/regulations.  FINRA, which is the forum in which many claims involving industry professionals are heard, has its own set of rules and procedures.

Formerly, Neil Henrichsen represented both companies as well as individuals, but now he exclusively represents Financial Professionals in presenting or defending claims at FINRA and in the courts.

Claims under the Sarbanes-Oxley Act ("SOX") and the Dodd-Frank Act are brought by employees who blow the whistle and expose illegal practices in the U.S. Capital Markets. Henrichsen Law Group assists clients with supplying information to the Securities and Exchange Commission (“SEC”) and the Commodity Futures Trading Commission (“CFTC”) to seek redress and recoupment of funds from unlawful practices. Additionally, the firm helps protect clients against unlawful retaliation in their jobs in the financial industry.

Whistleblowers who supply information about violations of securities and commodity-related laws can be eligible to receive sizable monetary rewards and are entitled to protection against retaliation in the workplace. Recent results include damages and reinstatement orders for SOX whistleblowers.

Should you seek legal advice and representation, contact Neil Henrichsen for a thorough and confidential consultation.