Representation of Financial Services Industry Professionals

When those who work in the financial services industry find themselves in need of legal counsel, they are often faced with a decision as to which attorney to hire.  The choice usually comes down to hiring an attorney who defends the very type of large Wall Street firms with which the professional may have an issue or hiring an outsider who may be unfamiliar with the industry and its preferred dispute resolution forum, FINRA arbitration.  The attorneys at ChapmanAlbin present a different option.  Based upon their extensive experience in FINRA arbitration and their knowledge of the financial services industry, the attorneys at ChapmanAlbin are routinely hired by financial services professionals to provide legal counsel in a broad range of areas.

Types of Representations

  • Defending brokers in forgivable promissory note collection arbitrations.
  • Counseling brokers and financial advisors on matters pertaining to the successful transition of their practice from firm to firm, including assisting in setting up their business if transitioning from a wirehouse to an independent firm or setting up a registered investment advisory (RIA).
  • Negotiating agreements with brokerage firms on behalf of brokers and advisors as they change firms.
  • Advising brokers on issues regarding the Protocol for Broker Recruiting.
  • Representing brokers in disputes regarding Form U4/U5 disputes and expungements.
  • Representing brokers and financial advisors in employment and business disputes that arise in connection with their work in the financial services industry, including issues pertaining to partnership agreements between brokers and financial advisor teams.
  • Representing brokers and financial advisors in licensing and disciplinary proceedings before regulatory bodies such as the Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), and State securities regulatory bodies, including the Ohio Division of Securities.