Employment Disputes

We represent clients in bonus, salary, commission, and other compensation disputes. We also serve clients through our handling of FINRA (formerly NASD and NYSE) arbitration, AAA arbitration, court actions, injunction cases, group lift-out matters, and bonus claims and disputes in litigation and in negotiation or mediation. Financial services professionals should seek representation from advocates with the high level of industry knowledge and experience that our attorneys provide.

Our attorneys have had years of experience representing clients employed by firms such as ABN AMRO, AIG, Alliance, American Express, Bank of America, Barclays, Blackrock, BNP Paribas, Calyon, CIBC, Citigroup, Commerce Bank, Credit Agricole, Credit Suisse, Deutsche Bank, Goldman Sachs, HSBC, JPMorgan Chase, Jefferies, Lazard, Macquarie, Merrill Lynch, MetLife, Moody’s, Morgan Stanley, Neuberger Berman, NY Life, Oppenheimer, RBC, RBS, Rothschild, Societe Generale, Standard & Poors, UBS, WestLB, and countless others. Outten & Golden represents individuals only, and thus avoids conflicts that arise for other firms that represent employers as well as employees.

FINRA and AAA mediation and arbitration

Securities firms and other employers seek out the best, most experienced management law firms and lawyers they can find. Facing employers in mediation or arbitration without experienced counsel is daunting, and one must overcome many obstacles to attain success. Attorneys at Outten & Golden have mediated and arbitrated cases before the NASD and NYSE (now FINRA), the AAA, JAMS, and other public and private dispute resolution firms and organizations. Our attorneys regularly help clients navigate mediation and arbitration proceedings against employers small and large, including some of the largest financial institutions in the industry.

Commission, bonus pay, salary, stock, and other compensation disputes

Individuals within the financial services industry, like employees in other fields, are entitled to be paid what is promised to them in their offer letters, contracts, compensation plans, and other agreements. Outten & Golden attorneys have litigated and arbitrated these types of claims, and have also successfully negotiated and mediated these compensation disputes.

Form U-5, Form U-4 and Other Registration Issues

Brokers, traders, salespeople, back office and compliance employees, and other registered persons are often forced to protect their reputations and good names when firms file false, inaccurate or misleading U-5s or other filings with FINRA and other regulatory or licensing authorities. These employees often need assistance seeking expungement or modification of these inaccurate filings, as well as aggressive pursuit of money damages (including punitive damages) when appropriate.

Court litigation, including trials and appeals

Many employment disputes require court litigation. Despite an employee’s desire and intention to resolve matters amicably and sensibly, some employers refuse to address a problem until they are forced to do so. Our attorneys seek to maximize our clients’ potential for recovery – either through negotiation, when that approach is possible, or, when it is not, through litigating cases aggressively. The firm’s attorneys appear in federal and state courts, handling cases at all stages, including trials and appeals.

Contact New York City, NY or Stamford, CT employment attorney