Cosgrove Law Group, LLC nets over $3 million for Broker and Compliance Officer

Cosgrove Law Group, LLC recently represented a Maryland registered representative and one of his former employees in a FINRA arbitration against their former broker-dealer.  The Statement of Claim brought multiple claims against a large independent broker-dealer headquartered in the Midwest.  The claims related to the representative and officer's terminations and U-5 filings, as well as the broker-dealer's raiding of the representative's own financial firm.  CLG, LLC has garnered over $8.5 million in awards and settlements for financial professionals in the last 5 years alone.

These business interference and raiding matters tend to be very document intensive and require sophisticated and experienced representation.  CLG, LLC represents individuals in the securities industry who have legal claims related to pre-textual terminations and inaccurate U-5 filings as well as other unfair conduct or business torts engaged in by broker-dealers.  CLG, LLC also represents whistleblowers and assists financial professionals with regulatory inquiries and disciplinary matters.