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May 23, 2018

Stock Broker Disciplinary Representation Lawyers

The Spodek Law Group has experience handling stock broker disciplinary issues and can provide quality representation. If you are accused of violating federal and state laws, as well as exchange rules/regulations, you might be facing disciplinary hearings – among other things. The good news is, we are here to help.

Broker Sanctions / U-5 Report Expunged

You could face any number of sanctions as a result of fraud. You could face expulsion, job loss, fines, and even criminal charges. In addition, you could face a permanent mark on your U5 report, which could prevent future employment opportunities.

We Can Help With Most Organizations

Our broker disciplinary defense lawyers can help with most regulatory organizations such as:

  • FINRA
  • SEC
  • CFTC
  • NYSE
  • SRO’s

We can defend floor brokers, and registered reps, against all forms of violations and inconsistent conduct.

Stock Broker Disciplinary Hearings

Our stock broker defense lawyers have years of experience handling disciplinary hearings. Whether it be as a result of fraud, misconduct, or a simple misunderstanding – we can help defend you against disciplinary hearings.

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Manhattan

85 Broad Street, 30th Floor
New York, NY 10005

Queens

35-37 36th St,
Astoria, NY 11106

Brooklyn

195 Montague St.
14th Floor,
Brooklyn, NY 11201

Manhattan

85 Broad Street, 30th Floor
New York, NY 10005

Phone

888-977-6335

Queens

35-37 36th St,
Astoria, NY 11106

Phone

888-977-6335

Brooklyn

195 Montague St.
14th Floor,
Brooklyn, NY 11201

Phone

888-977-6335