Arbitration, Litigation, and Litigation Avoidance Services

Our lawyers represent financial advisors and financial services firms in a variety of ways.  We help financial advisors who are transitioning from one affiliation to another by forming new business entities and counseling them about how to retain clients while honoring their contractual and fiduciary obligations.  In customer and industry disputes we represent financial advisors and broker dealers in FINRA arbitration and in civil courts. 

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