FINRA Arbitration Defense

Hiring a skilled and experienced FINRA arbitration lawyer can both lower costs and maximize the potential for a favorable outcome. FINRA arbitration is a focus at Bartell Law. The firm efficiently and aggressively defends customer claims against registered investment advisers, broker-dealers, financial advisors, compliance officers, managers and executives. The firm has broad experience defending claims by retail, institutional, and government investors, ranging from securities fraud, unsuitable recommendations and breach of fiduciary duty to unauthorized trading, conversion of funds, negligence, failure to supervise, churning and many others. The firm has experience with a variety of different financial products ranging from stocks, bonds, options, annuities and managed funds to structured products, auction rate securities and collateralized debt obligations. To learn more, call for a free consultation with Jeremy, an experienced FINRA arbitration attorney. Or click to read more about FINRA Arbitration.

SEC, FINRA, State Securities Administrators, Attorneys General 

Securities regulatory defense is also a focus at Bartell Law. The firm represents registered broker-dealers, investment adviser firms, stockbrokers, individual investment advisers, compliance officers, managers, executives and other financial professionals in regulatory investigations and administrative actions by the Securities and Exchange Commission, FINRA, state securities regulators, state attorneys general and other financial regulators. The firm handles all aspects of regulatory defense, including negotiating with regulators, preparing document and data productions, responding to requests for information, drafting legal briefs, preparing witnesses to testify, attending on-the record interviews, conducting hearings, negotiating consent orders, and defending administrative actions.  Click to read more about Securities Regulatory Defense.

Registration, Licensing, and Regulatory Advice

Bartell Law provides advice on registration and licensing issues to broker-dealers, registered investment advisers, registered representatives and other financial professionals. The firm researches and advises on FINRA, SEC, and state securities licensing and registration laws and defends regulatory investigations into licensing and registration issues. This includes handling investigations and hearings by private organizations offering financial credentials such as the Certified Financial Planner Board of Standards, Inc. (CFP®) and the CFA Institute (Chartered Financial Analyst designation). The firm also assists financial advisors with making FINRA Form U4 disclosures, including research and analysis of prior regulatory matters, criminal charges and convictions, and issues of potential statutory disqualification. Finally, the firm provides research, analysis and advice on a wide variety of securities laws issues. Click here to read more about Registration and Licensing.

Employment Matters

Employment disputes are becoming increasingly common in the financial industry as layoffs, restructurings, cost-cutting measures, and transfers of financial professionals between firms continue unabated. These disputes can impact professional reputations, compensation, and future opportunities in the financial industry. It is important to have an attorney who understands the industry and the stakes involved -- one who works closely with you to develop potential legal strategies tailored to the specific circumstances. From wrongful termination, employment discrimination and compensation disputes to advance loan disputes, FINRA Form U5 defamation and related FINRA investigations, we can help. Click to read more about Employment.

Commercial Litigation

Bartell Law handles a wide variety of commercial litigation for corporate clients, including hedge funds, trusts, banks, insurance companies and other entities. The firm also represents officers, directors and other professionals. The firm's experience is broad, ranging from securities litigation, corporate governance disputes, derivative actions, and class actions, to environmental litigation, intellectual property, insurance disputes, tax appeals, corporate bankruptcy matters, failed corporate deals, breach of contract, fraud, and unfair and deceptive acts and practices. Click here to read more about Commercial Litigation.

Neutral Mediator Services

Mediation, done right, can dramatically reduce the cost and time needed to resolve a dispute. Too often, however, mediation is expensive and ineffective because the mediator takes too passive of a role, dooming the exercise to fail. Bartell Law approaches mediation differently. Through Jeremy acting as neutral mediator, the firm offers mediation services that are structured, aggressive and designed to get cases settled quickly and on mutually beneficial terms. Everything from the structure and content of the mediation briefs to the structure of the negotiations is actively managed by Jeremy. The approach ensures that the parties become acutely aware of the strengths and weaknesses of their cases and are able to make settlement offers that are realistic and factually and legally justifiable. Give us a call, we'd be happy to explain this approach.