At Bachner & Associates, P.C. , our attorneys represent not only institutions and organizations, but also individuals in the securities industry in many of the unique issues they encounter.

For example, while employment issues arise in every industry such as wrongful termination, discrimination, and harassment, there are certain issues that only arise in the context of employment in the securities industry. These include defamation on Forms U-4 or U-5, as well as defense against temporary restraining orders seeking to enforce noncompete or non-solicitation agreements. In addition, brokers who leave a firm early may be faced with repayment of a forgivable loan or promissory note.

Securities professionals are also occasionally faced with white collar criminal charges such as securities violations, fraud, insider trading, and embezzlement. We have significant experience defending these types of charges, in both state and federal courts.

We also represent individuals in the securities profession in their regulatory matters and arbitration issues, including matters dealing with the SEC, NYSE, and NASD. These matters may involve professional licenses, accusations of fraud, or complaints by investors.

If you have any further questions, or if you would like to speak with one of our attorneys regarding your securities employment issue or white collar criminal charge, please do not hesitate to call our Manhattan office at (917) 639-5370 or toll-free at (877) 388-6461. If you prefer, you may e-mail us, or fill out the form on the Contact Us page of this website and a representative from the firm will be in touch with you shortly. We look forward to hearing from you.