Lubiner, Schmidt & Palumbo Home
Practice Areas
- Securities Arbitration and Litigation
- 401(k) Fraud - Are You a Victim?
- Churning/Excessive Trading
- Unauthorized Trading
- Unsuitable Trading
- Misrepresentation/Omission
- Negligence in Securities Arbitrations
- Securities Fraud
- Breach of Fiduciary Duty
- Failure to Supervise
- Selling Away/Trading Away — Supervision Under FINRA Rules 3270 and 3280
- Ponzi Schemes
- Over Concentration in an Investment Portfolio
- Stock Losses
- Junk Bond Losses
- Elder Abuse
- Margin Trading
- Woodbridge Securities
- New Jersey Bureau of Securities
- Investment Products Litigation
- Regulatory Investigations
- Employment Law in the Securities Industry
- Broker CRD Expungement
- U-4/5 Disclosure Language
- U4/5 Defamation Claims
- Defending Forgivable Loans Cases
- Defending Promissory Notes Cases
- Employment Agreements/Non-Competition/Non-Solicitation Agreements
- Bonus and Compensation Disputes
- Whistleblower Protection
- Retired Broker Programs
- Wrongful Termination
- Hostile Workplace/Discrimination
- Brokers' Corner
- The Recruiting Protocol – Where Does it Stand?
- Broker Beware - Raymond James Rep Fined, Suspended by FINRA for Taking Confidential Client Information from Prior Firm
- Broker Rules for Outside Business Activities and Private Securities Transactions
- Wells Fargo Settles Trainee Class Action for $3.5 Million
- Employer U-5 Defamation, Collection of Promissory Notes, Expungement – All Rolled Into One
- Requiring Brokers to Submit to Private Arbitration Outlawed
- At-Will Employment
- The Recruiting Protocol
- Transitioning to a New Broker-Dealer
- Employer U-5 Defamation
- FINRA Expungement
- Broker Expungement in Court
- FINRA Rule 2080 Expungement
- How Are Financial Advisors Preparing For Retirement
- Large Merrill Producer Gets Arbitration Award to Expunge Multiple Customer Dispute Disclosures
- Brokers Beware - There is a Right Way - And a Wrong Way - To Resign
- Welcome to the Brokers’ Corner
