Financial Industry Employment and Sale of Industry Business Issues

Labor Disputes in the Financial Industry

Are you involved in a securities Industry Labor Matter?


We specialize in labor disputes relating to the financial industry involving securities broker-dealers, registered investment advisers, investment companies (mutual funds) banks, insurance companies and other regulated entities and individuals. Through negotiation or dispute resolution the team of legal professionals at Kiefner Offices, P.A., can help resolve labor disputes, such as;


  • • Employment or independent contractor agreements and Matters
  • • Retirement and service agreements
  • • Compensation
  • • Benefits Disputes
  • • Management Relations
  • • Investigations by federal and state governmental or self-regulatory agencies including FINRA, SEC, Blue Sky agencies (state securities agencies), and other administrative bodies
  • • Sale of agency agreements "books of business", and asset sales including disputes
  • • Retaliation
  • • Sexual Harassment

The firm also represents public investors who have disputes with their brokers or brokerage firms. The legal Team at Kiefner Law Offices, P.A. has broad experience in litigation, arbitration and mediation. This gives the firm a distinct advantage in resolving securities-related issues.


Click here to request an initial consultation with the Kiefner Law Offices, P.A. team or call 727-894-8000 or 727-403-4517.