- Represented RIAs in 23 Jurisdictions
- Has represented RIAs in 23 different jurisdictions (including in AAA and FINRA arbitrations) regarding SEC compliance, customer complaints, and employment related matters. In an effort to proactively prevent expensive litigation, James has developed recruiting, transition, and practice protection strategies on behalf of RIAs concerned about legal issues. He has been retained to speak to investment firm owners and administrators regarding customized protection plans that will ensure future growth and compliance. His multidirectional approach means he works to proactively protect RIAs, while also representing them if they do become involved in litigation.
- Represented Broker-Dealers in Compliance Matters
- Has represented numerous broker-dealers in all aspects of compliance related matters in FINRA. Represents advisors, partnerships, and teams during transitions between competitors (both the recruitment and pursuit of) in order to ensure regulatory compliance and prevent breach of contracts or law. Has applied for court intervention, temporary restraint, and preliminary injunctions to prevent out-going advisors/talent from unfairly competing against their former employers. James has successfully utilized litigation, arbitration, and dispute resolution when breaches do occur.
- Counseled Over 300 Firms, RIAs, and Other Financial Advisors
- Counseled in excess of 300+ firms, registered representatives, and/or financial advisors in the transition between competitor firms, broker-dealers, investment advisory firms, or brokerage and fee-based employment.
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