Representing Financial Advisors And Other Financial Professionals Nationwide

Hyman Cotter PC regularly represents financial professionals, including financial advisors, registered representatives, investment advisor representatives and portfolio managers, in arbitration and litigation and generally advises on matters specific to the financial services industry.

Our attorneys include those who have worked in legal and business roles at such financial services firms as Morgan Stanley and UBS Financial Services. We also have regulatory experience as enforcement attorneys at the U.S. Securities and Exchange Commission (SEC).

We leverage our expansive knowledge of the industry to guide you through the various types of matters you may deal with as a financial professional, including:

• CFP Board investigations
• Claims brought by clients relating to investment losses
• Employment-related matters, including Form U4 and Form U5 disclosures
• Expungement of Form U4/U5 disclosures
• Financial services arbitration and litigation before FINRA, AAA, JAMS, other forums and in courts nationwide
• Firm transitions (both protocol and non-protocol)
• Matters stemming from terminations
• Partnership disputes
• Promissory and forgivable notes
• SEC, FINRA, state and SRO investigations/enforcement actions

Our firm understands the importance of protecting your record, minimizing risk in your practice and addressing issues when they arise. We have the experience and perspective to evaluate your situation and properly advise you.

If you have questions regarding the services we provide to financial professionals, contact Hyman Cotter PC at 312-291-4600 or through our online contact form for a free consultation.