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