Securities and investment industry employees and professionals often have performance-based compensation, such as bonuses or other compensation that is tied to business generation, trading desk P&L, or other work performance. Bonus disputes or compensation disputes can arise between securities employees and their brokerage firms or investment banks that require the help of an experienced attorney to resolve.
Instances of Securities Employment Issues
Common issues that arise in the securities field can include:
- Compensation or bonus disputes
- U4 or U5 expungement
- Promissory note or loan disputes
If you left your job and did not receive the severance package or bonus to which you were entitled or promised, you may be able to pursue a claim to recover money that you believe you are owed. Further, if you believe customer dispute information or termination information incorrectly appears on either your U4 or U5, you may be able to have it expunged from your record or altered. Finally, there are instances in which you may be forgiven from certain forgivable loans or promissory notes.
Call a Los Angeles Securities Attorney Today
If you are involved in a bonus dispute or compensation dispute, wish to expunge something from your U4 or U5, or have grounds not to repay a promissory note or forgivable loan, contact an experienced Los Angeles securities attorney today for a consultation to discuss your legal rights.