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Financial industry employees today face a wide range of complex industry rules, regulations and company policies and procedures that are unique to the financial industry.  At Daren A. Luma, PLLC, our attorneys have specialized knowledge and extensive experience handling employment issues involving the financial services industry. We provide clients with the tools to manage an effective employer/employee relationship while implementing preventative strategies designed to minimize risks and potential liabilities.

Our attorneys have handled a wide variety of labor and employment issues, including:

  • Wrongful discharge and discrimination

  • Hostile work place and constructive discharge

  • Defamation, CRD and Form U-4 and U-5 disclosure issues

  • Misappropriation of trade secrets

  • Performance, discipline and terminations

  • Dissolution of partnerships and teams within financial services firms

  • Restrictive covenants

  • Promissory Note Actions

  • Whistleblower Claims


Please contact us today at (914) 304-4051 or for a free consultation, if you have any questions about these sorts of issues or any other question or issue related to your employment in the financial industry.

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