91视频下载链接

 Securities Attorneys for Financial Advisors

 The licensed and highly qualified securities attorneys of 91视频下载链接 counsel, represent and defend financial advisors nationwide in legal matters such as regulatory, compliance, disciplinary and employment through the use of arbitration and litigation. Our securities attorneys have years and years experience in representing financial advisors before regulatory bodies such as the SEC, FINRA, and state securities regulators.

We frequently defend forgivable loan collection actions, prosecute Form U-5 defamation actions, counsel financial advisors as to how to transition successfully from firm to firm. Our securities attorneys also offer other legal services for financial advisors including succession planning, buy-sell agreements, other exit strategies,  strategic consulting, practice transitions, mergers, acquisitions, and divestitures.

 

Customer complaint? FINRA inquiry? CFP investigation? Regulatory audit?

You need your own lawyer! For serious matters like a customer complaint or regulatory inquiry, you need your own lawyer to protect your interests when you respond to your firm’s compliance department. This is even more important if your firm’s lawyer or outside legal counsel is involved, as they are conflicted and provide you no attorney-client privilege protection. Contact us today for a no-charge consultation.

Contact Us

 

The securities attorneys at 91视频下载链接 assist financial advisors with:

We can provide valuable advice and assistance in responding to FINRA Enforcement inquiries and actions and are here to help you with all aspects of the Enforcement process.
If you are an independent broker-dealer or are looking to become a "breakaway broker", we can help protect your assets and ensure an easy breakaway broker employment transition.
 
If you have received a CFP Notice of Investigation, a CFP Complaint, or a notice of Presumptive Bar as a CFP Candidate, we can provide guidance to you in all aspects of CFP disciplinary proceedings.
Have an experienced securities attorney from 91视频下载链接 on your side to review the contract terms that the firm’s attorney has drafted to protect his/her one and only client – the firm.
 
The securities attorneys at 91视频下载链接 consult and defend financial advisors nationwide against promissory note (forgivable loan) collection actions.
Employment matters can impact compensation, future opportunities, and overall professional reputation in the financial industry. Work with one of our employment attorneys.
 
Our team of securities attorneys at 91视频下载链接 have experience representing financial advisors before regulatory bodies such as the FINRA, SEC, and state securities regulators nationwide.
Whether you need strategic consulting from a securities attorney for broker transition, investments, regulatory matters or overall industry trends, 91视频下载链接 can guide you in the right direction.
 
The securities attorneys at 91视频下载链接 represent financial advisors who seek to file whistleblower actions including cases like securities fraud, SEC fraud, Tax fraud, investment fraud and more.
The securities attorneys at 91视频下载链接 have the knowledge and expertise within the financial industry to provide top-quality broker litigation and arbitration.
 
Custom Agreement Formation
Partnership Issues / Disputes
 

 

Significant Victories of the Securities Attorneys at 91视频下载链接

Granted zero dollars to the investor, the financial advisor reps of 91视频下载链接 have shown expertise through multiple significant victories in the past. For example, our securities attorneys defended a financial advisor and an accountant against claims that an investor had brought for unsuitable investments and conflicts of interest in which the arbitrator:

  • Ordered the investor to pay forum fees to the investment advisor.
  • Found that the case against the accountant was essentially frivolous.
  • Found the investor's expert to be unqualified to testify as an expert.

Another significant victory case is when the securities attorneys of 91视频下载链接 represented a broker in a wrongful termination and defamation action in which we convinced the arbitration panel to award $865,000 in compensatory damages plus removal of defamatory language from his publicly-available employment record (U-5).

The securities attorneys at 91视频下载链接 also represented a broker in a wrongful termination and defamation action in which we convinced the arbitration panel to award damages, to amend the broker's Form U-5, and to declare the outstanding promissory note balance null and void.

Other significant victories include when the securities attorneys of 91视频下载链接 proudly obtained the largest jury verdict ever (as of 1991) in Cook County, Illinois for a defamation and wrongful termination lawsuit for a business executive as well as helping transition and negotiate the deal for a large financial advisor team with over $10 million in annual gross production from one wirehouse to another wirehouse. When it comes to representing financial advisors, the expert securities attorneys of 91视频下载链接 will work with you and provide high-quality advice.

Are you a financial advisor in need of legal advice from an experienced securities attorney?

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TESTIMONIALS

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If the regulators are after you, and are trying to make a case against you, and you are going to contest their allegations against you, make sure you have the best securities industry defense lawyers, 91视频下载链接 Firm. My case was spun into a combination of penalties including fines, cash settlements, CE courses and suspension. They were the best I have seen in action. When all was said and done, they had done their magic, my situation was negotiated and settled with a simple "letter of caution" and a case closed without action. It is the most important legal business decision you will ever make, make it 91视频下载链接.

Rick R.

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