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Handling financial services disputes requires counsel with a significant understanding of the industry, the rules and regulations impacting our clients, and the forums in which disputes are adjudicated.  Our attorneys leverage their industry-specific knowledge, developed from years of representing clients…

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Employers and employees today face a range of complex rules and regulations.  Our attorneys have represented clients in a variety of industries, with specialized knowledge of employment issues involving technology firms, broker-dealers, registered investment advisors, and registered representatives in the…

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The Financial Industry Regulatory Authority (“FINRA”) maintains disclosure records for all registered representatives on the Central Registration Depository (“CRD”). All of these disclosures are available to state and federal regulators and potential employers.  Further, some of these disclosures are also…

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At DWH Legal we are uniquely qualified to help you with your securities regulatory and compliance matters. Our attorneys bring a unique combination of securities enforcement expertise and litigation strength. Our attorneys have experience working for the U.S Securities and…

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In order to attract and retain financial advisors and other registered representatives, it is common practice in the securities industry for financial services firms to offer incentive compensation to registered representatives through “upfront” payments upon being hired, and “back-end” payments…

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The attorneys at DWH Legal understand that registered investment advisors (RIAs) are presented with many challenges. Among other obligations, as an RIA you are required to have compliance programs designed to prevent violations of the Investment Advisers Act of 1940…

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Securities fraud takes on many different forms.  Sometimes companies, corporate insiders, hedge funds, brokers and others make false or misleading statements or omit to disclose material information.  Other times they promise unrealistically high returns or perpetuate fraud through the misuse…

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Whistleblowers are individuals who report information or activity that is deemed illegal, unethical or otherwise not in compliance with industry standards.  The alleged conduct can be a violation of company policy, laws, rules or regulations.  Whistleblowers are typically protected by…

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DWH Legal has extensive experience in representing companies both large and small, as well as employees, directors, officers and shareholders, in complex commercial litigation matters pending in federal and state courts nationwide, as well as in arbitrations before various dispute…

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Transitioning employment in the financial services industry requires counsel that can evaluate any potential legal implications so you can properly manage risk and focus on transitioning your clients.  If ignored, these risks can turn a simple transition into contested litigation…

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DWH Legal is frequently retained by small and mid-sized businesses to assist on various legal issues that arise and require the assistance of experienced and trusted counsel.  Our services are tailored to the size and need of the business and…

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Broker misconduct takes on many different forms.  Sometimes investors are sold complex or “alternative” investments that they don’t understand and are not properly advised of the risks.  Other times brokers recommend unsuitable, risky investments that are not appropriate for an…

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