Industry Disputes

The financial industry continues to be one of the most regulated industries in the country. With so many rules and laws in play at all times, governing so many aspects of so many transactions in Illinois and nationally, industry disputes can break out at any time.

At the Landsman Law Firm, LLC, accomplished business litigation lawyer Laurence M. Landsman has more than 20 years of experience with the skillful handling of:

  • Hiring and firm transfers
  • Disciplinary actions involving the Securities Exchange Commission, the Certified Financial Planner Board and the Financial Industry Regulatory Authority
  • Promissory notes
  • Employee forgivable loan claims
  • Restrictive covenants
  • Compensation disputes
  • U5 form (Uniform Termination Notice for Securities Industries Registration)
  • Employment contracts
  • Noncompete clauses in employment agreements

Laurence Landsman represents your interests with great care — otherwise an investigation could lead to a client being barred from the financial industry, suspension of an adviser license and substantial fines. Our detail-minded attorney prepares you for interviews with government officials, assists with the drafting of a submitted response to allegations, helps with document gathering when an agency orders it, and advocates for you at all hearings, to guarantee a credible defense.

Experienced Litigation Lawyer For Disputes Involving The Financial Industry In General, Brokerage Firms In Particular

If your brokerage firm has been accused of, or investigated for, fraudulent activity — or if you as a securities broker or financial advisor were defamed and/or fired — Landsman Law Firm, LLC, can handle these and many other financial industry disputes.

Contact our Chicago law offices to secure an initial consultation. Call 312-801-5684 or reach us by email message from this website.