In all likelihood, you are the victim of a grave misunderstanding. Just as you hire accountants to do your taxes, lawyers to get your kid out of trouble, real estate agents to sell your house – we urge you to take a breath, step back and assemble a crack team to help you navigate this mini-crisis in your career. This is regulatory stuff, not something that you can fix with a phone call and instincts. When necessary, we will bring on board the best and most aggressive securities attorneys on the Street to tackle the issue head on.
 
Most of the Advisors we represent produce millions in revenue, often tens of millions in revenue. Many are the top names on the Street, top Barron’s Brokers.  They work for prestigious firms, major investment banks and A-list platforms. They have never had so much as a single complaint. Their clients have millions with them, sometimes hundreds of millions. They feel they do not need anyone to help them because they know this market, know their clients, know the senior management of their firm. But consider this: We are working in a regulatory environment where firms shoot first and ask questions later, and the firms love to shoot to kill, steal your assets and not pay you a dime. They will claw back any money they owe you with vengeance because they think (they believe) they have FINRA on their side.  You need professionals on your side who have experience with compliance departments, chains of command and FINRA regulators. This is not the time to go it alone.
 
Within minutes of your first call to us, you will have a point person at our firm who will strategize with you every step of the way. We likely know the management of your firm better than you do. We understand how big companies think and what you can expect to come next. When it comes to crisis-management in the securities industry, we are the best in the business.
 
You might think of our role as your personal Agent. Think of what a well-known actor in Hollywood might do if he is stopped in the middle of the night on the highway by a somewhat rogue cop intent on arrest. The actor best not try and argue the case with a flashlight in his eye. He knows that will only worsen the situation, if for no other reason that he is in a bit of shock and might say the wrong thing. He instead makes one phone call to his Agent whose job it is to manage the crisis. The Agent formulates the message, makes the necessary calls and assembles the team.
 
Here is what our services entail.
 
1. Positioning Strategy: Our first job is to work with you to describe succinctly what happened. We then develop a clear message that both of us can use to proceed forward. We will work with you to get the real story short, consistent, and legal. This will be our message to anyone you authorize us to contact, or who contact on your own. The fee for this service is normally no more than an hour or two of our time. This will enable you to proceed forward on your own with no additional fees. If, however, you wish to proceed forward with our firm, we will work with you on a budget that is clearly defined. In many cases, our fees can be reimbursed to you by interested parties. Get Started.

 

2. Work on the Disclosure Documents: Our second job is to work on your U4 and U5 with the assistance of our attorney partners. Depending on the severity of your displacement, we will offer professional recommendations on who is best equipped to handle the issue. We work with scores of attorneys in all money center cities and every state in the Union and we usually employ two pros on our team– one in your State for employment related nuances and one for national securities law.
 
3. Build your Crisis Management Team: You know that our industry is built on relationships. Crisis Management is no different. We are particularly adept at bringing in a team with existing connections to your firm who can make  strategic calls on your behalf. Our job is to match the accusation with outside professionals who have dealt with your exact same issue at your exact same firm, and who know the players by first name. Again, our mission is to get you back in production with minimum disruption. We are fixers, and we know who to call and how.
 
4. Get you Back in the Game. If you are out on suspension, we will work to shorten the length. But whatever timeframe we are working within, we will begin immediately to get you either back in good standing with your firm, or speaking with other firms or teams that you know in the industry.

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