Securities Regulatory Employment Counseling
Several members of the Securities and Futures Regulatory group are also members of Sidley's
Labor, Employment and Immigration practice group. They have extensive experience counseling broker-dealers and other financial institutions with respect to a wide range of employment-related issues including compensation, wage and hour and other commission-related issues, disciplinary actions, Sarbanes-Oxley and other whistle-blower claims, and U-5 and defamation issues. In addition, our employment counsel conduct internal investigations in connection with all of these issues and, when necessary, act as litigation counsel as well.
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