The securities industry is specialized, with its own rules, standards and industry customs and practices.  Moulton, Wilson & Arney, LLP represents financial advisors in a wide variety of matters.  These include:

  • Employment Transitions. Regarding transitions between brokerage firms, a commentator has cautioned: “First, Hire the Lawyers.”  Another listed as one of the top ten reasons broker-dealer transitions fail: “Not hiring an attorney.”  When a financial advisor considers changing brokerage firms (or going independent), a variety of questions can arise.  read more . . .
  • Promissory Note & Forgivable Loan Claims. Many financial advisors, registered representatives, securities brokers, and investment advisors owe money on a promissory note or employee forgivable loan (“EFL”).  You may have defenses and not be required to pay the entire balance due.  read more . . .
  • Form U5 Expungement & Defamation. The Uniform Termination Notice for Securities Industries Registration (Form U5) lists all registrations, securities licenses, amendments, and customer complaints for a registered representative or investment advisor. A firm must also report a “Reason for Termination” when it terminates a financial advisor. read more . . .
  • Disciplinary Action & Investigations. For a financial advisor, registered representative, investment advisor, or securities broker, a disciplinary investigation is a very serious matter.  Violations of FINRA or SEC rules can lead to sanctions such as monetary fines, suspension of an advisor’s license, or even a bar from the industry.    read more . . .

We represent financial advisors, registered representatives, investment advisors and securities brokers nationwide in disciplinary investigations, employment claims and disputes, and transition issues.

Contact Moulton, Wilson & Arney, LLP for a free initial consultation.

Client Testimonials
“I expect my attorney to give me the same attention, respect, and highly competent service that I give my own clients as a financial planner. Moulton & Arney not only met my expectations, but exceeded them. When I approached Ms. Cindy Moulton and Mr. Lance Arney with my legal questions and concerns, I appreciated that they took the time to meet with me and to create a plan that provided me the representation I needed at a reasonable cost. Another thing that I value in a professional relationship is the return of my calls or emails quickly, and I was impressed with this firm for taking that responsibility seriously. I highly recommend Lance Arney and Cindy Moulton and would use them again if needed.”
-David Rhodes, CFP

“Cindy is a tremendously professional and thorough lawyer. Her combination of experience and interpersonal skills are unique. I would recommend Cindy to anyone who needs a legal resource!”
-Kelley J. Douglas, Stonebridge Wealth Management, LLC

View more client testimonials here