RIA Regulatory Defense Lawyer

Providing Peace of Mind to Registered Investment Advisors Nationwide

We Help Investment Firms & Solo Advisors Defend Against Client Complaints And Regulatory Actions So You Can Focus On What You’re Best At, Avoid Hefty Fines AND Disclosures on Your U4.

DID YOU THINK THAT THEY WOULDN’T COME AFTER YOU?
DID YOU THINK YOU DIDN’T NEED COUNSEL BECAUSE IT WAS JUST A DOCUMENT REQUEST?
ARE YOU KICKING YOURSELF BECAUSE YOU DIDN’T TAKE THE DEPOSITION MORE SERIOUSLY?
DO YOU REALIZE HOW MUCH HARDER YOU JUST MADE IT FOR YOURSELF BY NOT DEALING WITH IT BEFORE IT BECAME A FORMAL INVESTIGATION? 

WE DEFEND

WE DEFEND ADVISERS AND FIRMS ON A BROAD RANGE OF ISSUES

  • Rule 8210 Requests
  • On The Record Interviews (OTRs)
  • Wells Notices
  • Enforcement actions
  • Letter of Acceptance, Waiver and Consent (AWC)
  • Registration/licensing matters and investigations before state insurance divisions
  • Investigations, complaints, and other disciplinary actions initiated by the Certified Financial Planner Board of Standards

You want to be smart about how you handle any sort of investigation, because sometimes it starts out without any overt threat. Get ahead of any formal investigation by dealing with the issues NOW.

Why Choose My RIA Lawyer For RIA Regulatory 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 – We are attorneys focused exclusively on protecting the businesses and lifestyles of financial advisers from abusive regulators. We provide services to serve your firm- from RIA registration to ongoing compliance services to legal defense against client complaints and regulatory actions.
  • Satisfaction Guarantee – We are guaranteeing your satisfaction or you get your money back.
  • Experienced – 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. We have experience defending clients who are the subject of government or regulatory investigations.
  • 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 regulatory actions.
  • Our Vision – My RIA Lawyer wants to see advisors fulfilling their purpose without the worry of fines, censures, or suspensions.
  • Highly Reviewed & Rated – Excellent rating by respected legal website Avvo, awarded by Super Lawyers, 5- Star average review rating on Google. See some of our client reviews below.

Ask A Question
Describe Your Situation
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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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Do You Need Help With
RIA Regulatory Defense?

Client Reviews– My RIA Lawyer – RIA Regulatory 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 Regulatory Defense?

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What To Do Now:

Get in touch with us A.S.A.P. You are on a time crunch. The timeframe for response to inquiries and actions is limited. Ask us your questions and get a full analysis of your situation and options 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 and/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.