Financial Professionals

At DWH Legal, we regularly represent financial professionals including financial advisors, registered representatives, investment advisor representatives, portfolio managers and investment bankers in arbitrations and litigation, and generally advise on matters specific to finance professionals.  Our attorneys include those who have worked at such financial services firms as Morgan Stanley and UBS Financial Services, at the United States Securities and Exchange Commission, and as financial advisors.  We leverage our expansive knowledge of the industry to guide you through customer and industry arbitrations/litigation, employment matters, issues arising when transitioning from firm to firm, compliance matters, employment matters while employed as well as matters arising after your separation of employment, regulatory inquiries, and disclosure matters involving Forms U4/U5.  Our firm has numerous practice areas devoted to financial professionals, including:

Our firm understands the importance of protecting your record, minimizing risk in your practice, and addressing issues when they arise.  We have the experience and perspective to evaluate your situation and properly advise you.  Please explore our web site and contact us with any questions regarding the services we provide to Financial Professionals.