Securities Employment Litigation

From wrongful termination to discrimination, we help finance professionals get what they were promised and protect their right to work. We can help with expungements, partnership disputes, unpaid compensation, and whistleblower rights.

Securities employment regulation attorney

CRD Expungements & CRD Defamation

A tarnished CRD (Central Registration Depository) record not only hurts an advisor’s reputation, but in today’s environment it very likely will draw unwanted attention from regulators, lawyers, and would-be employers. Expunging a frivolous mark from your CRD record, or reforming your CRD, can help you win more business, stay off regulators’ “bad broker” lists, and appeal to more would-be employers.



Although it is unlawful for any employer to discriminate on the basis of race, gender, age, national origin, mental/physical disability or medical condition, or sexual orientation, many employees experience unlawful harassment and discrimination in the workplace.


Departures and Transitions

Navigating your departure from your firm, the when’s and how’s, can make you second guess whether and when to move. We can help, by working with you and your team to decipher what contractual obligations you may or may not have, what you may be giving up by leaving, what you may be gaining by joining your new firm, and handling your departure and transition so you can focus on what you do best, focusing on servicing your clients.


Partnership Disputes

A broken partnership can more closely resemble a messy divorce than grown adults choosing their own paths, but it does not have to. We can help manage the fallout and collateral damage before, during and after the break-up so you can focus on your business.


Unpaid Compensation and Bonuses

All too often promises of lucrative commissions and bonuses are made but then forgotten when deals close. We have successfully negotiated and litigated recoveries for clients who performed but failed to receive compensation they were owed.



We represent individuals and organizations in the prosecution and defense of claims of fraudulent, corrupt or other illegal activity involving governmental or corporate entities and their employees. We have the experience and resources to diligently investigate these claims, advise you on the relative strengths and weaknesses of those claims (including potential public relations issues and potential business concerns), counsel you on your options, and execute a pointed strategy aimed at protecting your rights, your reputation, and your future.


Wrongful Termination

In California, all employment is presumed to be “at will,” meaning either an employer or an employee can sever the employment relationship at any time for any lawful reason or no reason at all. But when an employer terminates an employee for a wrongful purpose, such as to deprive an employee of due compensation, bonuses, promotions, or other benefits, then the employer will be found to have wrongfully terminated the employee, entitling the employee to lost compensation and, possibly, punitive damages.

Matthew Baker is a partner with RMO LLP. Matthew’s litigation practice focuses on representing beneficiaries and fiduciaries in contested trust, estate and probate litigation matters; business owners and entities in business litigation matters and partnership disputes; and investors, financial industry employees, and financial institutions in securities litigation, employment litigation, and regulatory matters…

trust and probate litigation lawyer in Los Angeles