Defending Financial Professionals

Protect your reputation.

Protect your business.

Protect your clients.

Focused on Financial Professionals
Bartell Law represents financial advisors in FINRA Investigations, Inquiries and Exams (FINRA Rule 8210 letters); FINRA Arbitration (customer complaints and industry disputes); FINRA Brokercheck Expungement (complaints, criminal charges, FINRA Form U5 terminations); FINRA Form U4 disclosures (criminal charges, customer complaints, outside business activities and regulatory actions); securities employment disputes (compensation, promissory notes, and FINRA Form U5 terminations); and CFP Board Notices of Investigation, Complaints, Petitions, and ethics disclosures. Free consultation. 202-430-1040.

Practice Areas

  • FINRA Investigations

    FINRA Investigations

    Did FINRA send you a letter?

    Defense of FINRA inquiries, Investigations, and Exams (FINRA Rule 8210 Letters).

  • Finra Expungement Lawyer

    FINRA Expungement

    Remove complaints, terminations, criminal charges and other disclosures from FINRA’s Brokercheck Report.

  • Finra Arbitration

    FINRA Arbitration

    Has a client complained or threatened suit? We defend advisors in FINRA Arbitration. Protect your business and reputation.

  • CFP Board Investigations

    CFP Board Investigations

    Notices of Investigation, Complaints,
    Petitions for Consideration, Candidate Assistance, and Ethics Disclosures.

  • Securities employment disputes

    Securities Employment

    Terminations (FINRA Form U5), Promissory Notes, Compensation, Expungement, and Employer Transitions.

  • Business Litigation

    Business lawsuits, arbitrations and mediations. Economical and focused representation.

Legal Sense | Business Sense | Common Sense
As a professional, you manage risks, solve problems and find ways to benefit your clients and your business. When legal issues arise, you deserve to understand the law, your options, and the costs and risks involved. Sound legal analysis is key. But business skills are needed to weigh the costs and benefits of legal strategies. A good strategy is tailored and proportional to your legal issue. Your matter should not be blown into the trial of the century, unless it needs to be. In short, good results require legal sense, business sense and common sense.