The Attorneys of the Vernon Litigation Group represent financial advisers as financial attorneys nationwide relating to disputes with their former or current employer.  This includes representation of financial advisors in promissory note disputes, whistleblower actions, U5 defamation, discrimination, and other employment wrongdoings, as well as related regulatory and/or disciplinary proceedings, such as FINRA inquiries and State investigations, in which firms wrongfully accuse advisors of wrongdoing.

We also assist advisors on transitioning firms and guide them through the negotiation of the possible agreements with their new firm. Some of the services we offer to financial advisors include:

  • Litigation and Arbitration of Promissory Note disputes
  • U5 Defamation actions
  • Whistleblower actions
  • FINRA and CFP matters
  • Assistance on transitioning to a new firm or to go independent.
  • Provide an investment adviser annual review (audit) of policies and procedures, interviews with key personnel and attorney-client privileged findings

Vernon Litigation Group’s financial advisor site is tailored to financial advisors as a resource when dealing with employment related issues.  If you have an employment related issue or are planning on transitioning to a new firm, give us a call or fill out a contact form so we can determine how to best assist you

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