FINRA Arbitration Lawyer | FINRA Securities Arbitration Attorney
Stock Broker Disciplinary Representation
Manhattan Stock Broker Defense Attorneys
Conway & Conway's Broker Attorneys successfully represent registered representatives in disciplinary hearings resulting from alleged violations of federal and state laws as well as exchange rules and regulations.Broker Sanctions / U-5 Report Expungement
The sanctions sought by a regulatory agency as a result of fraud and misconduct can be severe, including expulsion, job loss, suspension, significant fines, and possible criminal charges. Not to mention a permanent blemish on a Stock Broker's U5 report, which can prevent possible future employment in the financials industry. Contact a U-5 Expungement Lawyer at Conway & Conway.Conway & Conway Provides an Aggressive Defense Against Allegations of Misconduct
The Broker Arbitration Lawyers at Conway & Conway regularly represent registered representatives in disciplinary hearings before the following self regulatory organizations:- Financial Industry Regulatory Authority (FINRA)
- Securities and Exchange Commission (SEC)
- Commodity Futures Trading Commission (CFTC)
- New York Stock Exchange (NYSE)
- and many other self-regulatory organizations (SROs)
Stock Broker Disciplinary Hearings
The defense lawyers at Conway & Conway draw on decades of financial industry experience as they counsel brokers through disciplinary hearings involving fraud and misconduct. The firm's lawyers have successfully defended numerous individuals in disciplinary procedures before many industry SROs.Defamation of Character Lawsuits / U5 Expungement
Brokers who have been defamed by false reports on their U5 should contact Conway & Conway to schedule a consultation. The firm will vigorously defend disciplinary charges and protect your legal rights at all times.Brokers throughout the country who face a disciplinary hearing or possible expulsion from the Securities Industry should call Conway & Conway's Stock Broker Attorneys. Contact our office to schedule a confidential consultation.