91视频下载链接

 Compliance Protection for Top-Tier Investment Advisers

 91视频下载链接 LLC is pleased to announce new compliance protection services for investment advisers with top-tier advisory practices who require more than cookie-cutter compliance programs, and who have the most to lose when something goes wrong or slips through the cracks!

High net worth advisers have more to lose, and thus more to protect. Only an attorney can render services with the full protection of the “attorney client privilege”, allowing us to candidly discuss the unique circumstances and the nuances, and protect our attorney “work product” from the regulators.

 

 

We have and will continue to protect top-tier advisers nationwide

And continue to provide an extra layer of protection to advisers currently working with non-lawyer compliance consultants, including helping advisers:

Review and consult regarding ADV filings in more complicated arrangements and situations;
Customize the Compliance Manual to fit the adviser's practice and to allocate responsibilities between the adviser and various other third-party service providers;
Create more than a Buy-Sell Agreement / Business Continuity Plan, but instead develop a Succession Plan that makes sense for both the adviser and his/her high net worth clients;
Conduct a thorough and on-site annual review of the adviser's compliance practices and procedures to protect the adviser's interests (and not just the custodian's interests);
Draft and review employment, confidentiality and non-compete agreements;
Prepare and review marketing and other materials to protect the adviser; and
Actively protect and defend advisers during state and SEC regulatory examinations.

Take advantage of the protection today.



 

 

 

TESTIMONIALS

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If you find yourself in trouble with the regulators, call 91视频下载链接, you won't regret it.

Rick R.

LATEST NEWS AND ARTICLES

July 1, 2025
State Regulators Fine Five Major Broker-Dealers Nearly $10 Million for Excessive Commission Charges

A coalition of state securities regulators has ordered five broker-dealers — including Edward Jones, LPL Financial, RBC, Stifel, and TD Ameritrade — to pay almost $9.9 million in penalties for overcharging customers on small-value trades.

June 30, 2025
SEC Charges New Mexico Investment Advisor with Fee Fraud and Fiduciary Breaches

The Securities and Exchange Commission (“SEC”) has charged David A. Nagler and his firm, New Line Capital LLC, with defrauding clients through deceptive fee disclosures and undisclosed conflicts of interest.

 

June 27, 2025
FINRA Sanctions Advisor for Accepting $1 Million Inheritance from Client Without Firm Approval

FINRA has fined and suspended veteran advisor Kenneth J. Malm for accepting a $1 million inheritance from a client without receiving the necessary firm approval.

TESTIMONIALS

Previous
Next

Thank you for your professional assistance with this matter. You are very good at what you do.

John T.

LATEST NEWS AND ARTICLES

July 1, 2025
State Regulators Fine Five Major Broker-Dealers Nearly $10 Million for Excessive Commission Charges

A coalition of state securities regulators has ordered five broker-dealers — including Edward Jones, LPL Financial, RBC, Stifel, and TD Ameritrade — to pay almost $9.9 million in penalties for overcharging customers on small-value trades.

June 30, 2025
SEC Charges New Mexico Investment Advisor with Fee Fraud and Fiduciary Breaches

The Securities and Exchange Commission (“SEC”) has charged David A. Nagler and his firm, New Line Capital LLC, with defrauding clients through deceptive fee disclosures and undisclosed conflicts of interest.

 

June 27, 2025
FINRA Sanctions Advisor for Accepting $1 Million Inheritance from Client Without Firm Approval

FINRA has fined and suspended veteran advisor Kenneth J. Malm for accepting a $1 million inheritance from a client without receiving the necessary firm approval.