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Finance Professionals

For decades, we have represented financial industry executives and their staff in litigationemployment, and regulatory matters in state and federal courts, as well as before regulators and arbitration forums. Our experience working with the industry, the firms, and the state, federal and self-regulatory bodies that regulate the industry gives us the insight necessary to help you understand what your specific needs entail, the costs, and the timing. Whether it’s representing you in a securities regulatory enforcement matter, expunging or reforming your Central Registration Depository (CRD) record, negotiating your departure and transition from one firm to another, negotiating or litigating a partnership dispute, handling your employment dispute, including promissory notes or forgivable loans you may have, unpaid compensation and bonuses, discrimination, wrongful termination, whistleblower claims, or protecting you in a securities arbitration or other litigation action, we can help.

Finance professionals attorney

We represent investors and institutions in FINRA, JAMS and AAA arbitrations, administrative proceedings, and state and federal court actions. Whether you are an investor reeling from undeserved investment losses, an institution involved in a dispute with your trading partner, or an institution or employee accused of wrongdoing by an investor or regulator, we have the experience to protect you.

Sean D. Muntz manages RMO’s Orange County office and serves as Co-Managing Partner and Practice Management Chair. Sean is an experienced trial and appellate lawyer, with litigation experience spanning a broad range of subject matters, including banking, general commercial, employment, probate, real estate, securities, intellectual property, maritime and environmental disputes. Sean has litigated matters in state and federal courts throughout California, and in alternative dispute resolution forums, including AAA and JAMS, and before the NASD/FINRA and Pacific Stock Exchange…