Financial Advisors: Safeguard Your CareerComplimentary Seminar
Hosted by attorneys who are recognized leaders in the fields of securities arbitration and regulatory enforcement
Protect Your Future and Know Your Rights
Avoid Pitfalls When Transitioning to a New Brokerage Firm
Manage Promissory Notes and Transitional Compensation
Maintain a Clean Industry Record
Expunge Customer Complaints and Other Defamatory Information
Respond to FINRA Enforcement Inquiries
Communicate Appropriately With Clients
Moderator
Dan Jamieson, Editor at Large at Financial Advisor magazine
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