Since 2017 HLBS Law has been dedicated to representing financial advisors on regulatory and legal matters involving customer dispute expungements, Form U-4 expungements, Form U-5 expungements, representation against lawsuits filed by current or former clients, and FINRA® and broker-dealer inquiry/investigation matters. We have expanded our practice and now offer defense to business professionals with white collar crime cases.
In 2017 our Managing Attorney, Owen Harnett, was one of the industry leaders in Form U-4 expungements with over 50 successful expungement arbitration hearings, and has worked with major broker-dealer firms including Merrill Lynch, Citigroup, Morgan Stanley, and Wells Fargo amongst many others.
While HLBS Law has vast experience with the major law firms that represent the broker-dealers and high-volume interaction with investors, we will only represent the financial advisor. It is our belief that FINRA® Licensed Professionals are underrepresented in this industry and are put behind the interest of investors and broker-dealers.