Our services include:
Arbitration
Our firm has extensive experience in handling arbitrations not only in FINRA but also in other reputable forums such as JAMS and AAA. Regardless of the type of arbitration you are facing, you can rely on our experienced legal team to provide comprehensive support and protect your rights throughout the entire arbitration process.
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Investigations
We have extensive experience supporting clients through both formal and informal investigations, which are initiated when a financial advisor is accused of wrongdoing. Whether you are facing an investigation by your state, multiple states, FINRA, or other agencies, you can trust HLBS Law to protect your rights and provide expert legal guidance.
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Expungement
A negative disclosure can significantly impact your career as a financial professional. Our team works with clients to remove disclosures through expungement. We have successfully removed disclosures from BrokerCheck and the Central Registration Depository (CRD), among others. Whether you need FINRA expungement or another type of expungement, our team can assist you through this process to achieve a successful outcome.
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Terminations
If you have been wrongfully terminated or believe you will be terminated, HLBS Law can help you prevent defamation, reduce the impact on your career, and, in some cases, even reinstate your employment. We support clients through the arbitration, mediation, or litigation processes when they are facing termination or have been wrongfully terminated.
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Civil Court
In some cases, going to civil court is necessary. At HLBS Law, we understand facing a court case can be intimidating and stressful. Our securities attorneys have a nationwide presence and a deep understanding of civil court proceedings to help you through this process and advocate for your best interests to protect your career and your reputation.
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Mediation and Alternative Dispute Resolutions
Mediation and alternative dispute resolution can help you resolve a claim without going through arbitration or civil court. Our team has extensive experience working with mediators to resolve a claim in the financial services industry. During your consultation, we can review your case to determine if mediation or alternative dispute resolution would be an appropriate course of action.
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