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.
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 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.