Allegiances fade quickly during times of transition. If you were terminated by your broker-dealer or RIA, or if a Form U4 or U5 termination is imminent, securing independent counsel is critical.
Your firm may use the language on your Form U5 as leverage or a weapon to retain your clients or impose restrictive conditions. If regulatory or firm policy violations are alleged, this termination may be the first step in a much larger FINRA or SEC enforcement investigation.
We provide immediate counsel to address these critical concerns:
- Defamatory allegations were entered on your Form U4 or U5 disclosure.
- Misrepresentation of the facts surrounding your departure.
- Negotiating U5 termination language to accurately reflect a voluntary separation.
- Handling Notes Payable disputes and Broker Protocol or non-compete issues.
- Mitigating the risk of a resulting FINRA enforcement investigation.
Do not risk your continued employment. Potential hiring firms are often hesitant to onboard advisors with U5 termination disclosures indicating anything other than a "voluntary" separation. Negotiating the finer points of a potential U5 disclosure now saves you significant time, money, and headaches associated with trying to expunge it later.

Josh Barber

Tad Burton, J.D.
Managing Director
of Client Relations

Jennifer Cox, J.D.
Senior Associate

Austin Davis, J.D.
Senior Associate

Dalton Hodges
Lead Administrative
Law Assistant

Josephine Jiron
Account Development
Representative

Doc Kennedy, MBA, J.D.
President & Co-Founder

Jason Kirkland
Executive Director

Peter Lindholm, J.D.
Associate

Meredith McNulty
Account Development
Manager

Alex PadLa, J.D.
Senior Associate

Sheyla Serrano
Client Relations Manager

Daniel Simms
Account Development
Representative

Janay Simmons
Administrative
Law Assistant

Carla Smith

Michael Wunderlich
For financial professionals involved in employment or partnership disputes, our team offers uniquely experienced and specialized counsel. We combine meticulous analysis with assertive advocacy to vigorously pursue your claims or build formidable defenses, consistently striving to maximize your success and protect your future.







