Your Trusted Securities Attorneys

Nationwide Legal Services for Professionals

Our Services

Arbitration

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 more

Investigations

Our 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 more

Expungement

HLBS 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 more

Terminations

We 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 more

Civil Court

Our experienced securities attorneys are committed to helping you navigate civil court proceedings to fight your case with the goal of a successful outcome.

Read more

Mediation

Resolve your claim through mediation with our attorneys. We will help you determine if mediation or alternative dispute resolution is right for your case.

Read more

Who is HLBS Law?

About HLBS Law

We provide legal services for professionals in the securities industry. Our experienced lawyers believe in protecting our clients to the absolute best of our ability. Our network of attorneys offer nationwide services. Whether you need a securities lawyer or a broker misconduct lawyer, you can depend on our skilled and knowledgeable professionals.

Learn about HLBS Law

You don’t have to fight alone.

HLBS Law supports you every step of the way. Trust our securities attorneys to protect your rights and career in the financial industry.

Book a Consultation

Testimonials

My experience with HLBS Law was outstanding. From the outset, everything was clearly explained. The execution of their work for me was superb. Every attorney who interacted with me, led by Michael Bessette, was friendly and professional and fully achieved the intended outcomes. Everyone who supported the attorneys in the office was just as friendly, efficient, and outstanding.

David Bindelglass

Working with Michael Bessette has literally been a life-changing experience. This firm was solid on its promises, fair on fees, and, in my opinion, over-delivered in every way possible.

Matt Lum

These guys delivered! They made ambitious promises about helping me get a false allegation expunged. Over the next few months, they did exactly what they promised—and other lawyers and compliance people had told me it was impossible. My record is pristine and clean again, as it should be, for the first time in years. Highly recommended

Stu Strumwasser

I was very pleased with their services. Excellent work, strong attention to detail, and fully transparent pricing.

Matt Vanden Heuvel

HLBS has cultivated an incredible team of highly skilled attorneys who provide unparalleled representation and top-notch advocacy for financial professionals nationwide. Their cutting-edge business model creates value-add efficiencies by utilizing modular support resources and local counsel

Doc Kennedy

Recent articles

FINRA’s New Expungement Rules Arrive, Lawyers Seek New Options

A new “work around” trend is being applied by lawyers in the industry in order to adapt to the rule changes […]

August 1, 2024

by Mallory Nissen & Owen Harnett

Employee Appreciation: Jenny Velez

HLBS Law is made up of many hard-working team members, all of which are extremely valuable to the company’s […]

July 17, 2024

by Mallory Nissen

Despite Obstacles, HLBS Law Succeeds in Expungement

In a recent arbitration case, Attorney Michael Bessette successfully obtained an award in FINRA arbitration […]

July 1, 2024

by Mallory Nissen

The HLBS Law Origin Story

HLBS Law opened it’s doors in Westminster, Colorado in late 2017. Prior to opening, Owen Harnett used to work in the […]

May 29, 2024

by Mallory Nissen

A Glimpse Into The 2024 FINRA Annual Conference

We are so honored that HLBS Law was in attendance for the 2024 FINRA Annual Conference! The ultimate theme of the […]

May 22, 2024

by Mallory Nissen

Our Mission at HLBS Law

At HLBS Law, we strive to be the top law firm for financial advisors seeking help with expungement, arbitration, […]

April 25, 2024

by Mallory Nissen

SIFMA Requests Changes to Form U5 Expungement

Recently, SIFMA has expressed concerns to FINRA about the current state of Form U5 defamation claims in FINRA’s […]

April 17, 2024

by Mallory Nissen

iCap Investments Failed: Financial Advisors Liable?

Recently, a financial product called iCap declared bankruptcy. iCap is affiliated with iCap Equity, iCap Vault, iCap […]

March 26, 2024

by Owen Harnett & Mallory Nissen

Successful FINRA Arbitration

Our very own Michael Bessette, Managing Attorney at HLBS Law had great success in his FINRA arbitration case that went […]

March 11, 2024

by Mallory Nissen

Frequently asked questions

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.