Firm Wins Rare Federal Court TRO Preventing Wrongful Termination and Defamation of Financial Advisor
John W. Joyce and Chloé M. Chetta were retained to represent a financial advisor in an employment and FINRA regulatory dispute with his former broker-dealer. The action involved claims of bad-faith breach of contract, wrongful termination, and defamation. John and Chloé successfully obtained a temporary restraining order, without notice to the broker-dealer, from the United States District Court for the Middle District of Louisiana preventing the advisor’s wrongful termination; they then were able to negotiate a favorable resolution of all claims. As one industry website reported, “it’s not everyday that a registered rep turns the tables and wins a TRO against a former industry employer. Truly superb pleadings by [the representative’s] lawyers.”
Both John and Chloé regulatory represent broker-dealers, industry executives, and financial advisors in securities and employment disputes.