For Financial Advisors

Gregory B. Simon Law, LLC represents financial advisors throughout the United States in employment-related disputes and regulatory matters initiated by the SEC, FINRA and other state regulators. Financial advisors work in a highly regulated and complex industry that is ever changing. The attorneys at Gregory B. Simon Law have significant experience counseling financial advisors on a host of employment issues and navigating financial advisors through the intricacies of regulatory inquiries, investigations and enforcement actions. Contact Gregory B. Simon Law for a free, confidential consultation.

Employment Matters

We have significant experience representing financial advisors in a variety of employment-related matters, including wrongful termination, Form U-5 defamation, expungement actions, promissory notes and employee forgivable loans, and employment transi… Read More

Regulatory Investigations

We represent and defend financial advisors during inquiries, investigations and enforcement proceedings brought by FINRA, the SEC, and various state regulatory agencies. Read More

Financial Advisors FAQs

Answers to financial advisors' frequently asked questions. Read More

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