SECURITIES & INSURANCE INDUSTRY DISPUTES
Andrew C. Coté, LLC has represented brokers, dealers and other investment professionals in the securities, insurance and commodities industry. He combines eighteen years as a securities attorney with a further eight years as a Registered Investment Advisor and Senior Executive in a brokerage firm. This has given him valuable insider knowledge of both sides of the securities industry. Some of the areas in which he represents clients are as follows:
- Contract Disputes -- Disputes between underwriters, principals, brokers and agents; conflicts between broker-dealers and dissolution of existing broker-dealers; employment contracts, termination agreements and wrongful termination.
- Employment Contract Disputes and Litigation -- Termination agreements, non-solicitation clauses, trade secrets, customer lists and databases and other proprietary information, promissory notes, bonuses and loans.
- Employment Discrimination -- Wrongful termination and/or retaliatory discharge cases, race, age and sex discrimination and sexual harassment.
- Enforcement Proceedings and Investigations -- Representation of brokers, dealers and all investment professionals with regard to SEC, State, and FINRA enforcement proceedings and investigations.
- Form U-5 Abuse and Litigation by Employers -- Representation of clients threatened by Form U-5 misrepresentation by an employer following termination of employment, including blackmail threats for return of salary and bonuses.
- Registration Delays and Problems with state agencies, SEC and FINRA.
- SEC Investigations into insider trading and securities fraud.
CALL US NOW FOR A FREE CONSULTATION
Please feel free to contact us to learn more about our firm and how we can assist you with your legal matter. Call us at (800) 290-4721 or email us at firstname.lastname@example.org. We will be pleased to provide a free consultation to determine whether an engagement with our firm is appropriate for you.