People who are involved in handling client investments know that there are often some complex elements associated with these duties. Trying to ensure that you are always in compliance with applicable laws and regulations can be complicated. There may be times when you need to answer for your actions to the Kentucky Department of Financial Institutions, Colorado Division of Securities, New York Stock Exchange, Financial Industry Regulatory Authority or U.S. Securities and Exchange Commission. In some cases, courts might also be involved.
We realize that this is a frightening position to be placed in. We are here to help you learn your options for the situation so you can make informed decisions about what you are going to do. Many times, there are lengthy investigations going on before anything is done. You are likely going to know about this while it is ongoing. If you are in this position, remember that it isn’t ever too early to protect yourself.
Whether you are facing issues because of a client claiming mismanagement of funds or because of another matter, we can help you face the matters. It is imperative that you look at what might happen immediately, but don’t forget to think about how the case might affect your future.
For some people in this industry, claims can mean the end of a career. In some cases, this is true even when there are false accusations. We want to help you protect your professional image so you can move forward with the career that you’ve worked hard to establish and enjoy so much.