Legal Advice & Representation

The heavily regulated and highly scrutinized financial services industry has a culture of litigiousness and an ongoing and growing commitment to compliance.

Advisors need to protect themselves and their practices. Advisorbox helps you connect with financial industry competent attorneys who have extensive experience representing advisors and practice principals. Our attorneys are experts in securities law, contract law, labor rules and defense.

Legal advice and representation offered through Advisorbox's legal network include:

  • General Representation
  • Employment Litigation (EEOC, wrongful discharge, defamation, discrimination)
  • Investment Advisor Regulation
  • Securities and Commodities Litigation
  • Transaction Advice
  • Protocol
  • White-collar Criminal Defense
  • Compliance and Regulatory Reviews
  • Form U4 and U5 Filings
  • FINRA Securities Arbitrations
  • SEC Defense
  • Contract Drafting and Negotiation
  • Dispute Resolution (arbitration and mediation)
  • Reviews and Audits of Internal Procedures
  • Regulatory Inquiries, Investigations and Enforcement Proceedings
  • Real Estate Leasing and Management

Advisorbox can also help you find a lawyer interested in split revenue arrangements regarding:

  • Estate Planning
  • Estate Transfer and Heir Planning
  • Trusts and Wills
  • Executor Services