As part of our fight against money-hungry and abusive regulators, we are going after low quality compliance providers who are risking your license, business, and lifestyle for a quick buck and an empty promise. Our Fee Recuperation attorneys engage these providers, demanding return of your money as well as payment of any fees you paid your regulator. We will utilize all legal remedies to get your money back and remind these providers of their responsibilities.
Whether you are fighting your former employer 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?
There is nothing worse than facing a fine, enforcement action, or litigation at the hands of a state regulator, the SEC, or FINRA. Our attorneys know at the end of the day, the end game for regulators is to scare you into filling their coffers. Our attorneys empower you to fight back against regulators by tirelessly advocating on your behalf, no matter how difficult or hopeless your case may seem. Regulators stick to their tried and true strategy. Their salaries don’t compensate creativity.
Are you an ‘asshole’ and can’t seem to stop annoying regulators? It’s okay. We can take from here. We know how to work with you and make you seem less offensive to regulators.
Are other attorneys afraid to take your case because of all of the hard work involved? That’s okay, we’ve got your back.
Whether you are leaving one firm to join another, deciding to leave the BD world for the RIA world, or starting your own independent advisory firm, we will review your contracts, advise you on the best strategy to depart your firm, and respond to your soon to be ex-employer when they try to get aggressive when clients leave with you. We’ll also review your contracts to ensure that you don’t get screwed over by your new firm. We take a close look at any promissory notes, non-compete agreements, non-solicit agreements, and non-accept agreements.
Over the course of 12 weeks, get trained on the compliance requirements and regulations governing your RIA business. Each week, login for a 30-45 minute lesson followed by a Q&A session with the boot camp leader and roundtable discussion with your fellow advisers. Recordings of each weekly call will be available. You will also be provided form template documents to get your compliance in shape with the most up to date information available.
Check our latest schedule and enroll today!
Creating a foundational understanding of your compliance responsibility with the My RIA Lawyer Compliance Boot camp, advisers will also have the benefit of one-on-one compliance consulting with one of our compliance team members who will assist advisers with completing their regulatory requirements, including amendments for Form ADV and conducting annual compliance reviews, to review advertising and social media content to ensure conformity with state and SEC requirements.
As your firm grows, so does the burden of your compliance responsibility. You could begin to hire compliance staff in house, train them, pay salaries, deal with turnover and maintain oversight or hand the responsibility over to us. We have trained compliance staff that will serve as your compliance department.
You can also add on services when you engage us as your outsourced compliance department. These services include:
The time you invest in a mock SEC exam will save you time and stress during an actual exam. It will identify your firm’s strengths and help you demonstrate to the SEC that you take compliance seriously. You will know what to expect and how to respond, which will make your document request process and interviews with SEC staff less stressful. A mock SEC exam is also a great way to conduct due diligence on a firm your are acquiring or merging with.
Undergoing a mock SEC examination will:
My RIA Lawyer’s Mock Examination is executed in four stages:
As the SEC would do, our expert compliance professionals request a series of compliance documents to understand the firm’s unique business practices and then use those documents to prepare for an onsite examination. Our requests are based on the most current requests coming from SEC examiners.
Onsite Mock SEC Exam
Our compliance professionals visit your firm’s offices and conduct a live mock SEC Exam through a series of exercises and interviews of the firm’s staff and personnel. We conduct live testing of your firm’s client files, email retention, books and records storage and more. We may request additional documents and information because of our on-site examination.
Off-site Exam Report
Upon completion of the onsite review, My RIA Lawyer will provide a written summary of the findings as well as a recommended schedule for remediation of deficiencies. We also categorize deficiencies by risk level so that you can tackle the biggest issues first.
Once we have approval of our plan for remediation, we begin by addressing deficiencies in order of risk, starting with high risk items. We work with your senior management and compliance team to ensure proper execution and continue providing training to ensure key staff members understand their compliance.
*Our mock examination services is a required prerequisite for our Outsourced Compliance Department service.
Is a Mock SEC Exam Right for Your Firm?
A mock SEC exam might be right for you if your firm…
We routinely assist advisers with setting up their entity by providing the following services:
* The fixed fee does not include costs of registration, including but not limited to, state fees, Secretary of State fees, IARD fees.
Work with our CFO Consultant to evaluate your current financial health and to set up the roadmap for success for your firm. Services include:
My RIA Lawyer provides compliance and legal services to Commodity Pool Operators (CPOs)/Commodity Trading Advisers (CTAs) and National Futures Association (NFA)-registered entities and persons. Our services are tailored to our specific client’s needs while also helping them meet NFA and Commodity Futures Trading Commission (CFTC) regulatory standards.
We will also act as the your outsourced NFA CCO to help meet the needs of clients and business partners in this space.
We will assist you with your specific compliance needs, including each CPO’s/CTA’s annual & quarterly NFA obligations, in addition to:
Disciplinary actions resulting from these investigations and examinations can have a significant impact on any registered “members” and “associate members” careers. Sanctions for violations of the Commodity Exchange Act (CEA) and NFA rules and regulations, may result in: a reprimand, substantial fines, orders to repay customers (restitution) for their losses, suspensions and you being expelled from association with any NFA member firm. The issues raised in these investigations, examinations and disciplinary proceedings are very rule intensive and can involve the minutiae of the commodities industry.
Don’t try to go through it alone. Get an experienced attorney on your side.
Starting your own RIA? Check out our comprehensive RIA registration services?
Are you departing a Protocol firm? We are well versed in Protocol and can help you understand the information you are entitled to take with you.
Don’t see what you need listed here? Don’t worry. Give us a call today and we will let you know if we can help you.