As a broker-dealer or registered investment advisor, you face a complex array of issues involving customers, brokers, advisors, employees, regulators, other broker-dealers, and more.
Whether you are dealing with a straightforward transition, a complex arbitration, or a regulatory inquiry, it is important that you have vigorous representation with extensive experience in the securities world.
I have unusually deep and broad experience in this industry. In addition to representing customers and financial advisors, as well as broker-dealers and registered investment advisors, I frequently interface with regulators, and spent two years as a trial attorney at the SEC.
This experience gives me an intuitive sense of broader issues and concerns that may be critical to the success of your case. I recognize issues, pitfalls, and opportunities that other attorneys miss.
Specific issues I handle include:
- Customer-related issues (including defense in arbitration)
- Industry Arbitration
- Regulatory issues
- Responding to subpoenas and 8210 requests from FINRA
- Broker transitions
- Form U5 expungements
- Employment disputes
- Investment advisor disputes
- Promissory note settlement negotiations
- Employment/independent contractor contracts
- Registration issues