DWH Legal has decades of experience representing some of the largest financial institutions as in-house and outside counsel giving us a greater understanding for the complexities and public ramifications involved in the financial services industry. We are regularly engaged by broker-dealers, registered investment advisory firms, banks, hedge funds and other financial institutions to handle a wide range of matters including:
- SEC, FINRA, State and SRO Investigations/Enforcement Actions
- Employment claims such as raiding, the Protocol for Broker Recruiting, Form U4/U5 defamation, etc.
- Promissory Note Actions
- Expungement Claims
- Financial Services Arbitration & Litigation
- RIA Formation & Compliance Counsel
Please explore our web site and contact us with any questions regarding the services we provide to Financial Institutions.