Manhattan Stock Broker Defense Attorneys

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:
  • Financial Industry Regulatory Authority (FINRA)
  • 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.

Stock Broker 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 on 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 throughout the country who face a disciplinary hearing or possible expulsion from the Securities Industry should call Conway & Conway's Stock Broker Attorneys. Contact our office to schedule a confidential consultation.