RIA Arbitration Defense Lawyer
We Can Defend Investment Firms & Solo Advisors Against Arbitrations Initiated by Customers. We have experience fighting for financial advisers and getting results, including FINRA, AAA, JAMA, and other arbitration forums.
WE CAN 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:
- Unauthorized trading
- Breach of fiduciary duty
- Breach of contract
- Material misrepresentation or omission
- Failure to supervise
- Violation of Rules, acts, or laws
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 – 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 5 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.
- Custom Solutions – You and your business are unique. That’s why we don’t use fill-in-the-blank form documents. Unlike non-attorney service providers, we customize documents for your business. Personal attention is central to our mission.
- Highly Responsive – We strive for rapid return calls. No going dark or waiting days to hear back.
- Proactive Approach – Our goal is to keep nosy regulators out of your business and out of your wallet. When we aren’t helping firms avoid regulators by putting in place robust compliance systems, we are vigorously defending them against client and regulatory actions.
- Our Vision – My RIA Lawyer Wants to See Advisors fulfilling their purpose without the Worry of Compliance Tasks.
- Highly Reviewed & Rated – Excellent rating by respected legal website Avvo, SuperLawyers Rising Star for 2021, 5- Star average review rating on Google. See some of our client reviews below.
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.
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
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
Outsourced Compliance Department
Tori's Tips- When a Client Complaint
Becomes an Arbitration
What To Do Now:
We welcome your questions and want to understand your situation to help you move forward and achieve the peace of mind that comes with having everything done properly and efficiently. You work hard to grow your business and create the life of your dreams. Now you need to protect it. Don’t let everything you’ve worked for just slip away due to a lack of proper planning. Invest the time now to learn your options by speaking with us and make the choices that best protects your business and lifestyle. 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.