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. Having your own counsel for support can help you protect your livelihood.
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:
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. While our team also offers support for U5 termination expungement, we can help with negotiations well before reaching the point where a U5 expungement is needed.

Josh Colville
Administrative Law Assistant

Nathaniel Cousar
Account Development Representative

Dalton Hodges
Lead Administrative
Law Assistant

Josephine Jiron
Account Development
Representative

Meredith McNulty
Account Development
Manager

Ric Rivard
Business Development Executive

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.
















