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.