COVID-19 and Financial Advisors: Were You Unfairly Harmed by Your Firm?
Summary of Keypoints The COVID-19 pandemic reshaped the financial services industry in ways few could have predicted. […]
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HLBS Law
Resolve legal disputes without going to court with arbitration. We help clients settle disputes privately through arbitration, including FINRA and other types of arbitration.
Read moreOur team has extensive experience helping financial professionals navigate investigations by regulatory bodies and their firms. Let us protect your rights and provide legal guidance.
Read moreHLBS Law works with clients to expunge negative disclosures from BrokerCheck, the CRD, IARD, IAPD, and other record databases, to protect their careers in the financial industry.
Read moreWe support clients facing termination and those who have been wrongfully terminated. Let us help you clear your name so you can continue your career.
Read moreOur experienced securities attorneys are committed to helping you navigate civil court proceedings to fight your case with the goal of a successful outcome.
Read moreResolve your claim through mediation with our attorneys. We will help you determine if mediation or alternative dispute resolution is right for your case.
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HLBS Law supports you every step of the way. Trust our securities attorneys to protect your rights and career in the financial industry.
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When should I seek the counsel of a securities attorney?
If you are a financial professional who is being investigated or has been accused of wrongdoing, it’s imperative to seek legal counsel as soon as possible. A disclosure on your record can impact your current employment and your future in the financial industry. The sooner you hire an attorney, the better your chances of a successful outcome.
What happens if I am suddenly terminated?
If you are under investigation and have been terminated by your firm, you may have a case for wrongful termination. Our financial attorneys can review the facts of your case and support you with a wrongful termination claim or deciding an alternative course of action.
What should I do if I am under investigation by FINRA, SEC, or a state?
Investigations should be taken seriously, and we recommend that you retain legal counsel. FINRA, SEC, and state investigations can result in fines, suspension, expulsion from the industry, and client damages. HLBS Law can support you through investigations by various agencies and states, even if you are under investigation in multiple states.
Will we have to go to court?
Most cases can be handled through mediation or arbitration. However, HLBS Law doesn’t hesitate to fight for our clients in civil court. We can support you whether you need a FINRA arbitration attorney or if you need to take your case to court. During your consultation, we will carefully review your case and advise a course of action.