The securities industry is specialized, with its own rules, standards and industry customs and practices. Moulton, Wilson & Arney, LLP represents financial advisors in a wide variety of matters. These include:
- Employment Transitions. Regarding transitions between brokerage firms, a commentator has cautioned: “First, Hire the Lawyers.” Another listed as one of the top ten reasons broker-dealer transitions fail: “Not hiring an attorney.” When a financial advisor considers changing brokerage firms (or going independent), a variety of questions can arise. read more . . .
- Employment Agreements – Review & Negotiation. An experienced lawyer can be a financial advisor’s greatest asset before, during and after moving to a new firm. We can review your existing contracts and advise you regarding negotiation of your new contracts. read more . . .
- Promissory Note & Forgivable Loan Claims. Many financial advisors, registered representatives, securities brokers, and investment advisors owe money on a promissory note or employee forgivable loan (“EFL”). You may have defenses and not be required to pay the entire balance due. read more . . .
- Form U5 Expungement & Defamation. The Uniform Termination Notice for Securities Industries Registration (Form U5) lists all registrations, securities licenses, amendments, and customer complaints for a registered representative or investment advisor. A firm must also report a “Reason for Termination” when it terminates a financial advisor. read more . . .
- Disciplinary Action & Investigations. For a financial advisor, registered representative, investment advisor, or securities broker, a disciplinary investigation is a very serious matter. Violations of FINRA or SEC rules can lead to sanctions such as monetary fines, suspension of an advisor’s license, or even a bar from the industry. read more . . .
We represent financial advisors, registered representatives, investment advisors and securities brokers nationwide in disciplinary investigations, employment claims and disputes, and transition issues.
“I expect my attorney to give me the same attention, respect, and highly competent service that I give my own clients as a financial planner. Moulton & Arney not only met my expectations, but exceeded them. When I approached Ms. Cindy Moulton and Mr. Lance Arney with my legal questions and concerns, I appreciated that they took the time to meet with me and to create a plan that provided me the representation I needed at a reasonable cost. Another thing that I value in a professional relationship is the return of my calls or emails quickly, and I was impressed with this firm for taking that responsibility seriously. I highly recommend Lance Arney and Cindy Moulton and would use them again if needed.”
-David Rhodes, CFP
“Cindy is a tremendously professional and thorough lawyer. Her combination of experience and interpersonal skills are unique. I would recommend Cindy to anyone who needs a legal resource!”
-Kelley J. Douglas, Stonebridge Wealth Management, LLC