Strong Legal Representation in Broker Employment Disputes


Sean M. Sweeney and our team of skilled attorneys have extensive experience in the field of broker compensation and broker employment disputes. Our clients include brokers involved in issues such as wrongful termination, compensation disagreements, and bonus loan balances. If you are a broker and are involved in a dispute with your broker-dealer, contact us online or call us at (414) 755-5020 to schedule a consultation at our Milwaukee, WI, office.

Broker-Dealer Disputes


Our attorneys can help protect the rights of a broker when faced with an employment dispute. At our firm, we provide legal representation to brokers involved in disputes relating to, but not limited to:

  • Compliance with The Protocol
  • Temporary Restraining Order Cases
  • Wrongful Termination Claims
  • Defense of Broker Notes Cases
  • U-5 Defamation Cases

Compliance with Broker-Protocol


When a financial advisor decides to leave a firm, a client who leans heavily on them is often stuck in the middle of a difficult situation between the advisor and the firm. Since trust is usually built between the client and the advisor, it is common for the client to follow. In the past, many firms followed broker protocol, which essentially put the clients needs ahead of the firm’s financial gains. However, more recently, large firms have started to withdraw from this agreement, making things more difficult for the broker and their clients. Whether your exit from your broker-dealer is covered by the broker protocol or not, we can help you if any problems arise.

We help brokers involved in employment disputes, such as wrongful termination and notes cases.

Representation in Notes Cases


If you are involved in a notes case, in which you are being sued for return of the bonus you were paid in the form of a promissory note, or you feel that you have been unjustly pushed out from the firm, our skilled attorneys can review the terms of your agreement and provide strong legal representation. During a full evaluation of the case, we will carefully examine the promissory note, the specific terms of the agreement, and your broker-dealer’s conduct as applied to its requirement to engage in just and equitable practices under FINRA rules.

U-5 Defamation Cases


When an employee resigns or is fired, the firm must file a Form U-5 which details why the separation occurred. False statements about the reason for termination can have extremely damaging consequences for the broker. If you feel an untrue statement was made regarding the specifics of your departure, it is extremely important to meet with an attorney. After learning about the specifics of your case, we can determine whether you are a victim of U-5 defamation. 


Why You Need Strong Legal Counsel


When involved in litigation with a large firm, it can be difficult to comprehend the complexities of a given case. Protocols, agreements, and contracts must be thoroughly examined by a legal advisor with the experience and understanding of the various laws regarding the agreements. When you are pushed out of a firm, or feel you have been unjustly terminated, it is important to work with an attorney who can strategically maneuver through the process.


We provide a free consultation to discuss your case.


Discuss Your Case with Us


If you are currently involved in an employment dispute or are looking to move firms and are unsure of your legal rights, contact us online, or call us at (414) 755-5020 to schedule an appointment. We provide a free consultation to discuss your case, and in some cases, are open to discussing alternative fee arrangements.