Areas of Practice

Block & Landsman lawyers focus their attention in the following areas of law:

Block & Landsman:  Securities Industry Disputes. The fast paced, cutting edge nature of the financial markets creates the potential for conflict among the people and the firms that drive the securities industry which services as the engine of the U.S. economy.  When that conflict does occur, Block & Landsman can help investment professionals and investment firms navigate their way to a resolution.

What are Securities Industry Disputes? Most disputes between brokers and brokerage firms occur when the relationship ends.  Sometimes the relationship ends because the broker leaves, and sometimes it ends because the brokerage firm terminates the broker.  Either way, the potential for conflict is significant.

• Securities industry disputes arise when departing brokers and the brokerage firm both claim a right to solicit the brokers’ customers.

• Securities industry disputes arise when one brokerage firm recruits brokers registered with another brokerage firm.

• Securities industry disputes arise when a brokerage firm places disclosure information on a terminated broker’s Form U-5 and the broker disputes the accuracy of the disclosure.

• Securities industry disputes arise when brokers leave a brokerage firm and the firm contends that the brokers should repay moneys advanced under a promissory note executed at the beginning of the brokers’ employment.

• Securities industry disputes arise when brokers leave a brokerage firm and claim they are owed unpaid commissions.

• Go here for a list of representative cases handled by Block & Landsman securities lawyers.

• Please contact one of Block & Landsman’s securities lawyers for a free consultation.

What Can Block & Landsman Do For You?

• Block & Landsman securities lawyers are experienced in consulting with securities industry participants who are considering ending a broker-brokerage firm relationship, and advising them on relevant issues of concern.

• Block & Landsman securities lawyers are experienced in representing brokers as well as firms in negotiating exit strategies without the need for arbitration.

• Block & Landsman securities lawyers are experienced in representing brokers as well as firms in pursuing arbitration claims and defenses in connection with the end of the employment relationship.

• Go here for a list of representative cases handled by Block & Landsman securities lawyers.

• Please contact one of Block & Landsman’s securities lawyers for a free consultation.

Why Is It Important To Consult With Experienced Securities Lawyers?

• Consulting with experienced securities lawyers can help brokers and brokerage firms avoid steps that typically result in arbitration claims being filed.

• Experienced securities lawyers are able to determine which claims are required to be arbitrated and which claims can be brought in court.

• Experienced securities lawyers are able to evaluate non-compete agreements to determine whether and to what extent they are enforceable.

• Experienced securities lawyers are able to evaluate Form U-5 disclosures to determine whether and to what extent they accurately reflect the circumstances of a broker’s termination.

• Go here for a list of representative cases handled by Block & Landsman securities lawyers.

• Please contact one of Block & Landsman’s securities lawyers for a free consultation.