Nationwide Securities Law Counsel for Financial Institutions

The attorneys at Hyman Cotter PC have decades of experience representing some of the world’s largest financial institutions, as well as smaller RIAs, banks, broker-dealers and hedge funds.

Our team includes former regulators, in-house lawyers and financial advisors with decades of collective experience, thereby giving us a greater understanding of the complexities within the industry. This experience allows us to help clients navigate through regulatory, employment, investment loss and CRD/ADV disclosures.

Additionally, we offer general counsel services regarding best practices, complex investment products and other matters relevant to the industry. While litigation avoidance is always the goal, when necessary, we are aggressive trial attorneys who have collectively taken well over 100 matters to trial.

The types of matters we typically handle include:

• Customer claims relating to investment losses or any other alleged misconduct
• Employment claims relating to compensation, discipline and terminations
• Enforcement of non-competes, non-solicits and garden leaves
• Expungement claims
• Form ADV counseling
• Form U4/U5 defamation and related CRD disclosures
• Internal investigations
• Raiding and other financial advisor transition matters (both protocol and non-protocol)
• SEC, FINRA, state and other SRO investigations
• Promissory and forgivable note matters
• RIA formation and compliance counsel

For more information about the services we provide to financial institutions, please contact Hyman Cotter PC at 312-291-4600 or through our online contact form.