Financial Advisor Transition & Litigation

Naples Financial Advisor Transition & Litigation Attorneys

Employment Litigation for Financial Advisors in Florida

Financial advisors involved in disputes with current employers, as well as those who have been wronged by past employers, require representation from an experienced attorney who understands the unique challenges they face. At Vernon Litigation Group, we have been providing strategic legal solutions to financial advisors in a range of employment law matters since 2008. Our attorneys are well-versed in state and federal laws, as well as FINRA regulations and related CFP matters. Whether you need assistance with a promissory note dispute, U5 defamation, or accusations of wrongdoing, our Naples financial advisor employment litigation attorneys are ready to fight for your rights.

Continue reading to learn more, or call us at (239) 319-4434 to schedule a free, confidential consultation with a member of our team today.

When Is Litigation Necessary?

At Vernon Litigation Group, we understand that employment issues can threaten your current compensation, future opportunities, and reputation. As such, you need a powerful legal team on your side, one that is willing to take your case to trial if necessary.

Litigation is not always necessary when it comes to employment disputes and related financial advisor employment matters. In fact, our firm typically seeks efficient, cost-effective solutions, including alternative dispute resolution and arbitration for financial advisors whenever possible. While this is often effective, it is not always the ideal method of resolving employment disputes.

In some cases, the only way to ensure your rights and reputation are protected is to pursue litigation. If this happens, it is important that you have an experienced litigation team that knows how to navigate the process in the most efficient manner possible. At Vernon Litigation Group, we have a proven record of success in financial advisor employment litigation. We offer custom financial strategies tailored to your unique needs, concerns, and goals and, throughout the process, we will work directly with you to ensure that you are comfortable and confident in the direction of your case.

How We Can Help

Our team handles a wide range of financial advisor employment litigation matters, including but not limited to:

  • Promissory Notes Litigation: We represent financial advisors who have suffered significant financial harm and other losses due to misrepresentation or changing brokerage firm policies, leading to an inability to repay promissory notes. Our firm fights for mistreated advisors and stockbrokers, as well as others who have been wronged by employing firms.
  • U5 Defamation Actions: We fight back against brokerage firms and other entities that make false and/or inaccurate claims on U5 forms regarding an employee’s termination. Fraudulent claims on a Form U5 can not only hinder your future opportunities and severely damage your reputation, but they are also a violation of FINRA’s mandate to promote market integrity.
  • Whistleblower Actions: When financial advisors report unlawful employer conduct, brokerage firms and other employers are prohibited from retaliating. At Vernon Litigation Group, we assist clients in bringing whistleblower claims, as well as in fighting back against current and past employers who retaliate against our clients for bringing these claims.
  • Discrimination: Under federal and state employment laws, all employers in Florida with 15 or more employees are prohibited from discriminating against any employee based on that employee’s race, color, religion, sex (including pregnancy), age (40 or older), disability, genetic information, sickle cell trait, or marital status. Our firm represents financial advisors in employment discrimination cases against current and past employers.
  • Accusations of Wrongdoing: Vernon Litigation Group represents clients in a variety of regulatory/disciplinary proceedings, including state and FINRA investigations, in which financial advisors have been wrongfully accused of misconduct and wrongdoing by brokerage firms.

As a full-service securities litigation firm, we also provide an array of additional services, including breach of fiduciary duty, disputes with financial institutions, FINRA arbitration and broker checks, investment fraud, and more.

Learn More About How Our Firm Can Fight for You

We offer personalized legal solutions tailored to each of our client’s unique needs. We recognize the specific challenges financial advisors face when navigating complex employment disputes—and we know how to overcome these challenges.

Our Naples financial advisor employment litigation lawyers have been recognized throughout Southwest Florida and beyond for their commitment to client service, ethics, and results. Many have earned the prestigious AV Preeminent® Rating from Martindale-Hubbell®, as well as inclusion in the Super Lawyers® list, the Best Lawyers in America®, and the National Trial Lawyers Top 100, among numerous other awards and accolades. Most importantly, we are committed to getting the results our clients need.

If you need help with a financial advisor employment dispute or litigation matter, contact us at (239) 319-4434 today for a free consultation.

    It was only after I engage Mr. Vernon and his that I began to have hope, I cannot commend Mr. Vernon and his assistant enough. He was able to successfully recover the assets, where many had failed.

    “My name is L.B., I was represented by Chris Vernon and his Vernon Litigation Group. This was a very long, complex case involving overseas jurisdiction in the Cayman Islands. I have been trying to ...”

    - L.B., Managing Member of Cayman Island based investment firm
    This is the law firm you should hire no matter where you are in the United States.

    “As a former practicing New York, Virginia, and DC attorney and now President of an international company, I know how to recognize a lawyer’s lawyer. The lawyers at Vernon Litigation Group consistently exceed my expectations.”

    - JA, Attorney and President of international medical device company.
    Well-regarded reputation for professionalism and competence.

    “Mr. Vernon not only repeatedly demonstrated his professionalism and competence but also his steadiness, consistency, compassion, and trustworthiness. They made me feel comfortable and secure in my decision to retain┬átheir services.”

    - SS, Private Practice Ph.D.
    Professional, competent, caring, and trustworthy!

    “My wife and I want to thank Attorney Chris Vernon for taking on our fraud case against a major banking institution. We could not have been happier with the successful results which exceeded our expectations.”

    - J.B. and T.B., Identity theft victims

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