Securities Industry Litigation and FINRA Arbitration

 

At Roche Law Group, our attorneys have extensive experience in financial services and securities industry litigation. They have successfully represented clients at the national and state level - from national broker-dealers, to registered investment advisory firms, to individual financial services professionals.  Our firm has expertise in matters including trade secret, non-compete, arbitration, enforcement and regulatory proceedings and sales practice defense.

Roche Law Group regularly represent clients before the Financial Industry Regulatory Authority (FINRA) throughout the country. We have extensive experience acting as lead trial counsel in FINRA arbitrations and can craft an effective litigation and arbitration strategy for our clients. We regularly represent securities firms and individual advisors in employment matters as well as in compliance and regulatory investigations, including U4/U5 defamation claims, responses to FINRA inquiries, responses to state or SEC regulatory inquiries and sales practice disputes with customers.

Our goal and focus is to exceed our clients’ expectations and produce results that allow our clients to achieve their goals and advance their business interests.

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Trade Secrets & Restrictive Covenants

 

The attorneys at Roche Law Group  have more than two decades of combined experience handling cases involving Trade Secrets and Restrictive Covenant law. From the legal enforcement of restrictive covenants to the drafting of non-disclosure and non-compete agreements, we offer an array of services designed to prevent the disclosure of your company’s trade secrets as well as the unlawful poaching of customers and employees by competitors and former employees.

 

Our attorneys are skilled litigators with the ability to protect our clients’ interests in a range of legal arenas, including measures to secure emergency injunctive relief in state and federal courts around the country and in arbitration forums including FINRA, JAMS and AAA.  To prevent opportunities for costly litigation, we partner with our clients to draft restrictive covenant agreements and to implement policies that mitigate the risk of unauthorized information disclosure or talent loss.

 

Our clients in the Trade Secrets & Restrictive Covenants practice run the gamut from large financial institutions, insurance brokerages and professional service firms, to start-ups and individual professionals in the financial services industry.  

 

The attorneys at Roche Law Group regularly handle matters involving:

 

• Drafting of non-compete and confidentiality agreements

• Design and implementation of policies to protect company assets

• Litigation relating to employee defections, unfair competition and raiding, including emergency injunctive relief at the state, federal and international levels

• Advice on the protection of trade secrets and the retention of key employees

 

Roche Law Group understands the issues your organization faces and has the experience to help your business protect its most important assets.