FINRA and Financial Advisors
We handle a variety of matters across the U.S. in the financial industry space. Indeed, one of our partners, Josh Iacuone, is a licensed FINRA arbitrator. We have taken on and defeated the big firms like Goldman Sachs, Citi, BBVA, Morgan Stanley and UBS.
We transition teams to new firms, handle TROs, fight off non-competes and non-solicits, ensure that the broker recruiting protocol is followed (for signatories), defend against promissory note enforcement, help financial advisors, branch managers, RIAs and financial executives with severance, regulatory issues, letters of education and FINRA investigations.