Naples Financial Advisor Transition & Litigation Attorney
Representing Financial Advisors in Complex Employment Disputes
At Vernon Litigation Group, our attorneys represent financial advisers in disputes with former or current employers. This includes representation of financial advisors in promissory note disputes, whistleblower actions, U5 defamation, discrimination, and other employment wrongdoings, as well as related regulatory and/or disciplinary proceedings, such as FINRA inquiries and state investigations in which firms wrongfully accuse advisors of wrongdoing.
If you are a financial advisor engaged in a dispute with a current or former employer, our Naples alternative disputes resolution attorneys are ready to represent your rights. We seek personalized legal strategies tailored to each client’s unique situation, needs, and goals and always strive to offer the most powerful and effective representation possible. We are well-versed in complex employment litigation and dispute matters within the financial sector and can address any concerns you may have.
Services We Offer
We aid financial advisors in a wide range of litigation matters and employment disputes. Based in Naples, our firm serves clients throughout Southwest Florida and beyond.
Some of the services we offer to financial advisors include:
- Litigation and Arbitration of Promissory Note Disputes: If you have received a “demand letter” request repayment of a promissory note or if you are facing legal action regarding payment of a promissory note, our firm can represent you in ensuing proceedings. Our attorneys are adept at developing defenses based on misrepresentation, fraudulent inducement, wrongful termination, discrimination, breach of contract, and related matters.
- U5 Defamation Actions: After you leave a broker-dealer for any reason, the member firm is required by FINRA to file a Form U5 (Uniform Termination Notice for Securities Industry Regulation) within 30 days of your departure from the firm. While these forms are required to be accurate, employers may provide untrue or inaccurate information. This could be grounds for a U5 defamation action. Our firm can assist you in U5 arbitration and expungement, as well as other related U5 defamation issues.
- Whistleblower Actions: We represent financial advisors in whistleblower/qui tam actions against firms/employers who are engaging or engaged in unlawful practices and/or behaviors. At Vernon Litigation Group, we help individuals fight back against financial corruption and work to ensure their rights are protected throughout the process, including their right to be protected against any form of retaliation.
- FINRA and CFP Matters: We assist clients in a broad range of Financial Industry Regulatory Authority™ (FINRA®) and Certified Financial Planner™ (CFP®) issues, including alleged FINRA violations, FINRA arbitration, fraud allegations, and more. Our team is ready and willing to take any case to trial if necessary.
Our additional services include providing an investment adviser annual review (audit) of policies and procedures, interviews with key personnel, and attorney-client privileged findings. We also assist financial advisors on transitioning firms and guide them through the negotiation of the possible agreements with their new firm.
Why Choose Vernon Litigation Group?
Since 2008, we have been recognized as a trusted leader in financial advisor representation in Naples and throughout Southwest Florida. Our alternative dispute resolution attorneys help our clients find alternatives to trial whenever possible. We are well-versed in arbitration and negotiation, but we are also fully prepared to take your case to trial and aggressively represent your best interests in the courtroom if necessary.
We are ready to represent you in any type of employment dispute or a related matter, including issues involving FINRA violations, defamation, qui tam actions, promissory note disputes, and more. Our firm has been recognized as being among the Best Law Firms of 2020, and many of our attorneys have earned perfect 10.0 ratings on Avvo, as well as AV Preeminent® Ratings from Martindale-Hubbell®, the highest possible peer-review rating for ethics and legal acumen offered by the prestigious organization. Our attorneys have also been selected for inclusion in the Super Lawyers® list, the National Trial Lawyers Top 100, and Best Lawyers in America®.
Contact Our Firm for a Free Consultation
We tailor our services to financial advisors and strive to serve as a resource for those dealing with complex employment-related issues. If you have an employment-related issue or are planning on transitioning to a new firm, give us a call or fill out a contact form so we can determine how to best assist you.