Defending Financial Professionals
Protect your reputation.
Protect your business.
Protect your clients.
Focused on Financial Professionals
Bartell Law represents financial advisors in FINRA Investigations, Inquiries and Exams (FINRA Rule 8210 letters); FINRA Arbitration (customer complaints and industry disputes); FINRA Brokercheck Expungement (complaints, criminal charges, FINRA Form U5 terminations); FINRA Form U4 disclosures (criminal charges, customer complaints, outside business activities and regulatory actions); securities employment disputes (compensation, promissory notes, and FINRA Form U5 terminations); and CFP Board Notices of Investigation, Complaints, Petitions, and ethics disclosures. Free consultation. 202.430.1040
Practice Areas
-
FINRA Investigations
Did FINRA send you a letter? We defend FINRA inquiries, investigations, and exams (FINRA Rule 8210 Letters). Retain counsel now.
-
FINRA Expungement
Expunge customer complaints, criminal charges, employment terminations, and other disclosures FINRA’s Brokercheck Report and the CRD system.
-
FINRA Arbitration
Has a customer threatened suit? Are you in a dispute with your current or former firm? We represent financial advisors in FINRA arbitration. Protect your business and reputation.
-
CFP Board Investigations
Notices of Investigation, Complaints,
Petitions for Consideration, Candidate Assistance, and Ethics Disclosures. -
Securities Employment
Terminations (FINRA Form U5), Promissory Notes, Compensation, Expungement, and Employer Transitions.
-
Business Litigation
Business lawsuits, arbitrations and mediations. Economical and focused representation.
As a financial professional, you manage risks, solve problems, and identify opportunities to benefit your clients and your business. When legal issues arise, you deserve to understand the law, your options, and the costs and risks involved. Sound legal analysis is key. But business skills are needed to weigh the costs and benefits of legal strategies. A good strategy is tailored and proportional to your legal matter. Your matter should not be blown into the trial of the century, unless it needs to be. In short, good results require legal sense, business sense and common sense.
Legal Sense | Business Sense | Common Sense