Representation of Financial Services Professionals

When those who work in the financial services industry find themselves in need of legal counsel, they are often faced with the difficult decision of who to hire. The choice usually comes down to either hiring an attorney who typically defends large brokerage firms, not the individual advisors, or someone who is unfamiliar with the industry and its preferred dispute resolution forum, FINRA arbitration.

At Mackaness & Ideta, we present a different option: attorneys with extensive experience in the securities industry who are uniquely qualified to assist financial services professionals in a broad range of matters, including:

  • Assisting financial professionals with successfully transitioning their practice from firm to firm, including advising brokers on issues regarding the Broker Protocol and transition contract review.
  • Negotiating Form U-4/U-5 disclosures and expungements and prosecuting Form U-5 defamation actions.
  • Representing financial professionals in forgivable promissory note collection arbitrations.
  • Representing financial professionals in employment and business disputes, including partnership agreement disputes and trade secret claims brought by the broker’s former firm.
  • Representing financial professionals in licensing and disciplinary proceedings and investigations before regulatory bodies such as the SEC, FINRA, and state securities regulators.

Contact Us For A Free Consultation.

Please call us today to see how we can help you. Our initial consultation is free.