Financial Services

The Alonso & Wirth team is nationally recognized for our more than 60 years of financial services litigation experience, helping clients navigate high-stakes situations. We have a unique focus on and understanding of broker-dealers, registered investment advisors, and registered representatives that we bring to bear to protect and defend our clients’ interests in arbitrations before the Financial Industry Regulatory Authority (FINRA) and state and federal agencies. We represent financial services firms nationwide ranging from international Fortune 500 firms to investment advisory firms that are just starting up.  

Our Services

Our clients include broker-dealers, registered investment advisors, and registered representatives. Alonso & Wirth represents our clients in many areas, including the following:

• Raiding Cases between broker-dealers
• Disputes regarding recruiting practices
• Advice and litigation relating to non-solicitation and non-competition agreements and trade secrets
• Partnership disputes between registered representatives
• U5 expungement
• Advice and representation regarding client complaints and arbitrations regarding allegations of inappropriate investments, advice, and trading strategies
• Employment law questions and issues for broker-dealers and RIAs, including compliance with and enforcement of the Protocol for Broker Recruiting
• Regulatory matters before FINRA
• Representation of broker-dealers and registered representatives in promissory note and deferred compensation disputes.  

Notable Cases and Awards

• FINRA arbitration award of over $19 million on behalf of a broker-dealer in a raiding case brought against a competitor.
• FINRA arbitration award of over $4 million: We obtained this compensation for a financial advisor in a defamation claim against a former employer.
• AAA arbitration award of over $3 million: We obtained this award for an advisory firm’s minority shareholder after wrongful termination.

Forming a Partnership for Success in Financial Services Litigation

Looking for a legal team that really listens and then formulates a personalized strategy? If so, we invite you to rely on us. Reach out to our team to schedule a confidential consultation.