About Lewitas Hyman
Leveraging decades of unparalleled collective experience, Lewitas Hyman is regularly sought as counsel to tackle complex matters specific to the financial services industry in an aggressive, cost-effective manner. Whether we are advising clients on dispute and litigation avoidance, or when necessary, zealously advocating in court, before arbitration panels, or before regulatory bodies such as the SEC and FINRA, we focus on preparation, advocacy and a relentless drive to achieve the client’s goals.
Securities Matters We Handle
- Representation of financial firms, individual investors, financial advisors and other financial professionals in investment- and employment-related arbitrations before the Financial Industry Regulatory Authority (FINRA), the American Arbitration Association (AAA), JAMS and other organizations.
- Representation of financial firms, financial advisors and other financial professionals in employment and disclosure counseling, including items relating to employment obligations, terminations, compensation and bonus issues, and CRD, Form U4/U5 and Form ADV disclosures.
- Representation of financial advisors and other registered representatives in SEC, FINRA and state regulatory examinations and investigations.
- Representation of clients in investment loss matters stemming from allegations of financial advisor misconduct relating to unsuitable investments and trading strategies, breached contractual and fiduciary duties, ponzi schemes, fraud, theft, churning, unauthorized trading, financial abuse of seniors, and other forms of improper account management.
- Representation of financial firms and professionals on matters relating to advisor transitions between protocol and non-protocol firms, including counseling on non-competes, non-solicits and garden leaves.
- Representation of financial firms and financial advisors on matters relating to promissory and forgivable notes, and other post-employment obligations.
- Representation of professionals holding the Certified Financial Planner (CFP) certification in disciplinary matters pending before the CFP Board.
- Representation of financial firms, financial advisors, other financial professionals and investors on legal risks and liabilities associated with complex investment products such as variable annuities, leveraged exchange-traded funds (ETFs), non-public REITs, private placements, alternative investments and structured products.