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Welcome to the Brokers’ Corner

Lubiner, Schmidt & Palumbo is an experienced securities arbitration, regulatory and employment law firm. The firm represents large, medium and small broker-dealers, as well as independent registered investment advisors. The firm also represents customers in disputes with brokerage firms.

We handle securities arbitrations that deal with common causes of actions, such as unsuitable trading,unauthorized trading, misrepresentation, and failure to supervise.

Take a look at our website to explore different issues confronting registered representatives, including but not limited to, bonus and compensation disputes, U-4 or U-5 expungement, employment agreements and defending a regulatory investigation.

In this section, you will find articles specifically addressed to your concerns – broker retirement, U-5 defamation, the Recruiting Protocol and expungement, to name a few.

In the Brokers’ Corner we discuss current topics in the securities industry about which you may have questions. We discuss recent arbitrations and regulatory actions and upcoming rule changes. We cover issues that are of concern to you and may impact your practice.

Any questions, anytime, contact us. We’re here to help.

Client Reviews
I came to them with a lawsuit I wanted to pursue against a big company. I called other lawyers who didn't understand or want to listen to me. They researched the case and took it on contingency. 3 months later when no other lawyer would listen they got me mid 6 figures. They always returned my email or call me to update. Great negotiator as I would have taken the first offer and they got me double. They are smart, down to earth guys that don't talk down to you unlike other lawyers. If this firm can't help you than nobody can. Michael
They respond in a timely manner to any of my questions. Their quality of service is excellent. If you are seeking legal muscle behind you and a competent lawyer to handle your case, Mr. Lubiner is the answer. George A.
Our firm has engaged Lubiner & Schmidt LLC for over fifteen years. They have always surpassed our expectation and the quality of service has been excellent. We strongly recommend their services to any corporate client seeking legal help. Girish N.