Representing Financial Advisors

Mr. Hill has more than a decade of experience working closely with financial advisors and registered representatives in the securities industry. Through this experience he has become intimately familiar with the types of issues and disputes that are unique to advisors within this highly regulated industry, including the following:

  • Disputes between advisors and the firms for which they work
  • Consulting Advisors with Up-Front Forgivable Notes
  • Broker Transitions from one firm to another
  • The Broker Protocol for Recruiting and Transitioning of Advisors
  • Allegations of Broker, Investment Adviser, or Financial Planner Misconduct
  • Representing Advisors and Representatives in SEC or FINRA Regulatory Investigations

If you are a financial advisor, investment advisor, or registered representative who is need of experienced securities counsel, please contact the Law Offices of Robert L. Hill to schedule a free consultation.