The rewards of your profession can be considerable, but the risks and challenges you face can be formidable. In the course of your work as a securities professional, you may well encounter situations where you will need experienced, informed, and dedicated legal representation.
Your career could be at stake.
The advisors I represent know that I do everything in my power to protect their livelihood and interests, and that I have the experience to do so effectively and get them the best possible outcome.
I am different from most attorneys in the securities world. Rather than representing only brokers, I chose to represent investors and broker-dealers as well. This has given me a unique perspective on the issues, concerns and strategies of the people sitting across the table, whether your issue involves mediation, arbitration, negotiation, or a regulatory matter.
I also have a background in litigation and trials through my work at the Justice Department and SEC and in arbitrations at FINRA and the NYSE. For many years I have also interfaced with FINRA, state, and federal regulators.
My experience, perspective, and intuition will be your competitive advantage.
Common issues I handle for financial advisors include:
- Defense of customer claims
- Broker transition
- Employment disputes
- Partnership disputes
- Wrongful termination
- Promissory note cases
- Breach of contract
- FINRA, state, and SEC regulatory issues