We represent financial advisors in claims brought by or against their broker-dealers or RIA firms. We also represent advisors who have lost clients because of investments they recommended, based on faulty information from their broker-dealer. In these situations, FINRA panels have awarded financial advisors the value of the lost business. We have successfully represented financial advisors in promissory note cases, discrimination and harassment, raiding-related claims, compensation issues, and U-5 reporting issues.