91视频下载链接

91视频下载链接 Offices

CHICAGO  • NEW YORK CITY • SCOTTSDALE

The attorneys of 91视频下载链接 represent investors and financial advisors nationwide in securities and employment matters. Our team of employment and securities attorneys draws on a combined experience of nearly 65 years in delivering the highest quality legal services for financial advisors and investors.

We recognize that each client’s case is unique, and we pledge to obtain the best possible outcome at a reasonable price. The employment and securities attorneys at 91视频下载链接 will be sure to consider all possible arrangements suitable for your legal matter. We can also provide an estimate of fees and costs – hourly, contingency, fixed, or blended – into a written agreement.

Let Financial Advisor Transitions help you protect your financial advisor practice.

The financial services industry is changing rapidly. Times of transition can either lead to tremendous growth or devastating loss, especially if you're a registered representative and/or an investment adviser with more to lose. You may be pressured into moving your practice — your livelihood — by headhunters without your best interests at heart. Mishandling transitions can sabotage everything you've worked so hard to earn. Where do you go when your situation changes? What about your clients?

Let the experts at help you ensure that your practice remains yours. With our decades of experience, we've seen how a good deal can preserve and protect your livelihood for many years to come and how quickly a bad deal can end it. Our strategy consultants will assess your wants and needs and help negotiate a transition plan to propel your practice forward in its next phase, whatever your situation. It's your firm. What you do with it is your choice. Maintain your independence. with Financial Advisor Transitions today.

Are you a financial advisor or investor in need of expert legal advice?

SERVICES FOR ADVISORS SERVICES FOR INVESTORS 

TESTIMONIALS

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Jim, Stephany and the whole team were a God send.  We felt like we were put into a situation where we had no advocate. Jim’s team came in with a strong, well laid out strategy on how to get our story heard. Where our outside compliance company had no ability to help, our Broker Dealer was impenitent, and the regulators were aggressive pursuing vague rules, Jim came like a barricade against an assault we did not understand. Though you pay member dues to be affiliated with FINRA and a B/D, you have no voice. The only thing that is truly heard in this un-level playing field is a bulldog’s bark like Jim’s. I would encourage anyone to call Jim and his team to find a real ally in the tough and complicated world of securities regulation. They are truly the best.

Greg P.

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FINRA Sanctions Advisor for Accepting $1 Million Inheritance from Client Without Firm Approval

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SEC Charges Marine Veteran in $2.5 Million Ponzi Scheme

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June 25, 2025
FINRA Fines and Suspends Advisor for Selling Away and Receiving Client Loans

The Financial Industry Regulatory Authority (“FINRA”) has sanctioned Jose Antonio “Tony” Navarro for selling unapproved investments and borrowing funds from clients.