Rapp & Krock has significant experience defending broker/dealers firms, RIAs, and their people in civil litigation and arbitration. We also handle investigations and inquiries from FINRA and the SEC. Our team is knowledgeable about the various types of claims associated with these cases, as well as the regulations that impact broker-dealers. We regularly represent clients throughout Texas and around the country on matters including:

• Investigating alleged breaches of suitability rules and other sales practice violations
• Defending firms and advisors in FINRA customer arbitrations
• Litigating FINRA intra-industry business disputes on behalf of both claimants and respondents
• Assisting clients in obtaining, or defending against, injunctive relief at TRO proceedings and temporary injunction hearings
• Form U4/U5 Expungement and other employment-related matters
• Analyzing restrictive covenants in contracts
• Protocol for Broker Recruiting issues

• Resolving forgivable loan/promissory note disputes
• Team breakups and disputes
• Evaluating clients’ pending employment offers
• Negotiating signing/retention bonuses
• Upgrading protections in firms’ standard employment agreements
• Responding to FINRA Letters of Inquiry
• Defending FINRA Notices of Investigation
• Defending FINRA disciplinary actions
• Responding to SEC subpoenas and investigations