Representing Financial Professionals Nationwide
Lewitas Hyman regularly represents financial professionals, including financial advisors, registered representatives, investment advisor representatives and portfolio managers, in arbitration and litigation, and generally advise 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 United States 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:
- Financial services arbitration and litigation before FINRA, AAA, JAMS, other forums and in courts nationwide.
- SEC, FINRA, state and SRO investigations/enforcement actions.
- Employment-related matters, including Form U4 and Form U5 disclosures.
- Matters stemming from terminations.
- Claims brought by clients relating to investment losses.
- Expungement of Form U4/U5 disclosures.
- Promissory and forgivable notes.
- Firm transitions (both protocol and non-protocol).
- CFP Board investigations.
- Partnership disputes.
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.