Employment Practice For Financial Advisors And Registered Professionals

WHAT YOU NEED TO KNOW ABOUT YOUR RIGHTS AS A FINANCIAL PROFESSIONAL

Chipman Mazzucco is dedicated to representing honest advisors and registered professionals (including brokers, registered representatives, traders, financial advisors, financial planners, account executives, and investment advisors) in investment disputes, employment disputes, regulatory investigations, and whistleblower cases. We also have extensive experience expunging reportable disclosures from advisors’ public and private Central Registration Depository (“CRD”) records maintained by the Financial Industry Regulatory Authority, Inc. (“FINRA”) and from other regulatory records

Chipman Mazzuco lawyers are uniquely experienced to evaluate and negotiate your unique employment circumstances and litigate your claims if necessary. Christopher J. Gawley, who leads the team of Chipman Mazzucco lawyers in this practice area, has extensive experience representing financial advisors and registered representatives. After clerking for a federal district court judge, Mr. Gawley worked as an attorney for Cleary Gottlieb, one of the foremost Wall Street law firms, and Morgan Stanley, one of the most prestigious Wall Street financial institutions. At Cleary Gottlieb, Mr. Gawley worked on teams comprised of some of the best lawyers in the country representing global, Fortune 100 companies — including brand name banks, brokerage firms, and other financial institutions in a variety of legal matters.

At Morgan Stanley, Mr. Gawley represented the firm and financial advisors in hundreds of matters against investors involving virtually every aspect of the securities business. He has obtained expungement from FINRA arbitration panels for financial advisors in a number of actions. He also represented Morgan Stanley in regulatory matters pending before the SEC, SROs, and state securities agencies, including multiple franchise level matters. Served as lead counsel in numerous FINRA and NYSE arbitrations and obtained several favorable final arbitration awards. He also led internal investigations of Morgan Stanley employee misconduct and recommended appropriate discipline and corrective action for senior business review. He also served on key industry group working committees that advocated on behalf of the financial services industry. Mr. Gawley also provided counsel regularly to Morgan Stanley’s fixed income desk on a variety of legal and regulatory questions.

If you have been named as a defendant or respondent in a complaint by filed by a customer, or if you find yourself to be the subject of a regulatory investigation, contact Chipman Mazzucco. If you have information of violations of the federal securities laws or U.S. tax laws (or any other laws) and wish to explore your options — and potential monetary awards — contact us. If you want to remove an old customer complaint or any other reportable disclosure from your CRD, contact Chipman Mazzucco. We can help you.

EMPLOYMENT: PROFESSIONALS

SERVICES FOR FINANCIAL ADVISORS AND REGISTERED PROFESSIONALS

  • EMPLOYMENT DISPUTES
  • INVESTOR DISPUTES
  • REGULATORY INVESTIGATIONS
  • WHISTLEBLOWERS
  • SEVERANCE AGREEMENTS
  • EMPLOYMENT AGREEMENTS

Matrix Corporate Center 39 Old Ridgebury Road
Suite D2
Danbury CT 06810
203.744.1929