Stock Broker Arbitration Hearing for U5 Defamation of Character Lawsuits  
Stock Broker Arbitration Disciplinary Hearing Representation Attorney Conway & Conway Represents Brokers Dealers Registerd Reps & Associated Persons APs in Disciplinary Hearings
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Stock Broker Arbitration / Defamation of Character U-5
Reputable Law Firm for Stock Broker Arbitration NY Stock Broker Fraud Lawyers Helping Brokers When Faced With Allegations of Fraud or Dealing With U5 Expungement Issues
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Stock Broker Arbitration Disciplinary Hearings

The defense lawyers at Conway & Conway draw on decades of financial industry experience as they counsel brokers through disciplinary hearings involving fraud and misconduct. The firm's lawyers have successfully defended numerous individuals in disciplinary procedures before many industry SROs.

Defamation of Character Lawsuits
U5 Expungement

Brokers who have been defamed by false reports of their U5 should contact Conway & Conway to schedule a consultation. The firm will vigorously defend disciplinary charges and protect your legal rights at all times.

Brokers from the Tri-State Areas of New York, New Jersey and Connecticut who face a disciplinary hearing or possible expulsion from the Securities Industry should call Conway & Conway's Stock Broker Attorneys. Contact their New York City or Long Island office to schedule a confidential consultation.

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Stock Broker Disciplinary Representation

Conway & Conway's Broker Attorneys successfully represent registered representatives in disciplinary hearings resulting from alleged violations of federal and state laws as well as exchange rules and regulations.

Broker Sanctions
U-5 Report Expungement

The sanctions sought by a regulatory agency as a result of fraud and misconduct can be severe, including expulsion, job loss, suspension, significant fines, and possible criminal charges. Not to mention a permanent blemish on a Stock Broker's U5 report, which can prevent possible future employment in the financials industry. Contact a U-5 Expungement Lawyer at Conway & Conway.

Conway & Conway Provides an Aggressive Defense Against Allegations of Misconduct

The Broker Arbitration Lawyers at Conway & Conway regularly represent registered representatives in disciplinary hearings before the following self regulatory organizations:

  • National Association of Securities Dealers (NASD)
  • Securities and Exchange Commission (SEC)
  • Commodity Futures Trading Commission (CFTC)
  • New York Stock Exchange (NYSE)
  • and many other self-regulatory organizations (SROs)

The firm's Stock Broker attorneys defend floor brokers and registered representatives against all types of violations of rules of conduct and conduct inconsistent with the equitable principles of fair trade.

Securities / Derivatives / Commodities
Financials / FOREX / Futures Litigation
Alternative Dispute Resolution
Regulatory Compliance
Business & Commercial Litigation
 
Conway & Conway
1700 Broadway, Ste. 3100
New York, New York 10019
(212) 938-1080

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