RIA Arbitration Defense Lawyer

Providing Peace of Mind to Registered Investment Advisors Nationwide
We Represent Advisors and Advisory Firms With Disputes With Investors, With Other Firms and Professions And With Regulators. We Have Experience Fighting for Financial Advisers and Getting Results, Including FINRA, AAA, JAMA, and Other Arbitration Forums

We Work With:

  • Elite breakaway groups looking for white glove service.
  • Advisers with complicated or cutting edge business models that need legal guidance on how the regulations apply to their business.
  • Advisers with U4 disclosures, who have been suspended or barred from FINRA and are interested in starting their own RIAs.
  • Anyone who is starting a new firm who wants to do things correctly from the start and desires the peace of mind that comes with that.

We Defend:

Our attorneys have defended hundreds of arbitrations initiated by customers and have successfully protected advisers and their firms from bogus claims. Here are some of the claims made by investors that we defend:

  • Churning
  • Unsuitability
  • Unauthorized trading
  • Fraud
  • Negligence
  • Failure to supervise
  • Violation of rules, acts, or laws
  • Breach of fiduciary duty
  • Breach of contract
  • Material misrepresentation or omission

Ask A Question
Describe Your Situation
Or Request A Consultation

Call (770) 870-1765 or fill out the short form below. We will usually respond within 1 business day but often do so the same day. Don’t hesitate,your questions are welcome.

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We respect your privacy. The information you provide will be used to answer your question or to schedule an appointment, if requested.

Why Choose My RIA Lawyer For RIA Arbitration Defense?

  • Experts in the RIA Space – My RIA Lawyer is the only law firm solely focused on the RIA space.
  • Confidential Strategy Session – During your phone or online video consultation, we will listen to you and help you determine your next steps.
  • Focused Legal Practice – By focusing the firm on investment advisers, our clients receive specialized services and advice that finally allow them to take control and live the life they dream of.
  • Satisfaction Guarantee – We are guaranteeing your satisfaction or you get your money back.
  • Experienced – In our many years in business, My RIA Lawyer has a proven record of protecting financial advisers by helping them create strong compliance systems and empowering them to fight back when regulators threaten their business and livelihood.
  • Highly Responsive – We strive for rapid return calls. No going dark or waiting days to hear back.
  • Proactive Approach – Arbitration is costly and can take over a year to resolve, so we are proactive in finding solutions that cut costs and the amount of time you have to deal with a dispute.
  • Our Vision – My RIA Lawyer wants to see advisors growing their businesses without threat of arbitration and disputes from partners, former bosses, and clients.
  • Highly Reviewed & Rated – Excellent rating by respected legal website Avvo, Super Lawyers Rising Star for 2021, 5 -Star average review rating on Google. See some of our client reviews below.

Whether you are fighting your former employee over a promissory note or a former client over investments in their portfolio, our team of experienced attorneys are here to fight back. The arbitration process can be a long and burdensome process with multiple prehearing conferences, discovery requests, and motions. Our attorneys have experience fighting for financial advisers and getting results, including FINRA, AAA, JAMA, and other arbitration forums.

Did you know? If you want get an expungement, you have to go through the arbitration process. Unless expungement was requested during your dispute with your client or employer, you will have to initiate an arbitration to start the expungement process.

Did you know non-FINRA member investment advisers can elect to have FINRA arbitrate industry and client complaints?

Do You Need Help With
RIA Arbitration Defense?

Client Reviews– My RIA Lawyer – RIA Arbitration Defense

Actual Words Clients Have Used to Describe Us & Their Experience:

“absolutely amazing”, “expert with compliance”, “gets results”, “genuinely care”, “extremely professional & organized”, “demonstrated expert knowledge” ,” personable staff “, “setting us up for success” “very happy with their services and professionalism”, “very responsive, communicative, and extremely knowledgeable”, “highly recommend their services”, “offers a wealth of knowledge as a business owner”, “conducts herself very professionally”, “recommend her services without reservation”, “jumped in to resolve the issues”, “provided expert legal advice”, “invaluable resource”, “look forward to working together again”, “advice was helpful and thorough”, “work is top notch”, “excellent to work with, very knowledgeable and detail oriented”, “excellent, capable”

Do You Need Help With
RIA Arbitration Defense?

Video Answers

My experience

Outsourced Compliance Department

Tori's Tips- When a Client Complaint
Becomes an Arbitration

What To Do Now:

Get in touch with us A.S.A.P. You are on a time crunch. The timeframe for response to the claims that were filed is limited. Ask your questions and get a full analysis of your situation right away, since time is of the essence. Don’t let everything you’ve worked for slip away by not consulting an attorney in time. Call us for one-on-one assistance at (770) 870-1765 with your questions, a description of your situation or to schedule a consultation. You may also simply fill out the form above on this page. Your form will be directly emailed to our office. You can expect a reply within 1 business day and often within hours the same day. All information is confidential.