Think Advisor Article Features Firm

Our firm was featured in an article in Think Advisor. Subjects covered include FINRA arbitration and employment disputes, elder financial abuse, FINRA enforcement priorities, Form U5 disputes and how to handle an internal investigation.

If you are an investor with questions about your broker’s conduct; or if you are a financial advisor with questions or concerns about an internal investigation, a Form U5 matter or how FINRA’s enforcement priorities may affect you, please contact a securities attorney at The Galbraith Law Firm. Call 212.203.1249 or email kevin@galbraithlawfirm.com for a free confidential consultation regarding your legal rights.