FINRA and SEC Inquiries, Investigations and Disciplinary Actions. 

FINRA regulatory defense is a focus at Bartell Law. The firm represents financial advisors, managers and other financial professionals in regulatory investigations and disciplinary actions by FINRA, the SEC, state securities regulators and state attorneys general. The firm handles all aspects of regulatory defense, from answering Finra inquiry letters, producing documents and information, preparing advisors to testify before regulators, drafting Wells Submissions, defending disciplinary hearings and negotiating settlements such as Finra Letters of Acceptance, Waiver and Consent. Click to read more about Securities Regulatory Defense.

Have you received a Finra Inquiry Letter under FINRA Rule 8210?

If so, click here: Finra Inquiry Letters.

Registration, Disclosure, Expungement and Regulatory Advice

Bartell Law provides advice on registration and disclosure issues to broker-dealers, registered investment advisers, registered representatives and other financial professionals. This includes Finra Form U4 disclosures of criminal charges and convictions, customer complaints and arbitrations, liens and bankruptcies, and outside business activities. It also includes expungement of information from the CRD and Brokercheck, including termination explanations on Finra Form U5, and customer complaints, arbitrations and civil suits. The firm also handles Finra eligibility proceedings for statutorily disqualified individuals. Finally, the firm researches and advises on FINRA, SEC, and state securities registration laws and defends regulatory investigations into registration issues. Registration and Disclosure.

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.

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 REITS, limited partnerships, direct participation programs, 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.

Securities Employment Disputes

Employment disputes remain all too common in the financial industry. Restructurings, consolidations and cost cutting have led to layoffs, employee transfers and employment terminations (often for minor transgressions). These disputes can damage reputations, reduce future compensation and limit opportunities. It is helpful to have an attorney who is familiar with the industry and the stakes involved - one who tailors strategies to your specific circumstances. Bartell Law handles employment termination and defamation cases (Finra Form U5); claims for compensation; promissory note (employee forgivable loan) disputes; trainee fee disputes; and breach of contract. Bartell Law also handles the parallel Finra inquiry that often follows when an advisor is discharged or permitted to resign from a broker-dealer. Click to read more about Securities Employment Disputes.

Certified Financial Planner Board of Standards

Have you received a notice of investigation, or a complaint, from the CFP Board? Or are you a candidate for CFP^® certification who received a notice of presumptive bar and needs to file a Petition for Consideration in order to get certified? If so, you may benefit by hiring an attorney with experience responding to CFP Board Investigations, filing Petitions for Considerations and handling CFP Board disciplinary hearings. The CFP^® certification is a valuable, hard-earned credential that investors and other professionals respect. If the CFP Board is investigating you, or seeking to revoke or suspend your right to use the marks, or denying your candidacy, it is often well worthwhile to retain an experienced attorney to help you present your position. Click here for more information on CFP Board Investigations and Disciplinary Hearings.