Financial Professionals face pressures from their employing firms, compliance departments, supervisors, and from regulatory agencies and from clients, so they should benefit from experienced counsel and consultants that understand that entire landscape in which they operate.   Rob Moses has over twenty years’ experience working with hundreds of financial advisors on business, regulatory, enforcement and compliance matters such as:

  • Business Successions and Planning
  • Compliance Requirements
  • Customer Complaints
  • Customer Arbitration Claims
  • Employment/Contractor Agreements
  • Financial Advisor Partnerships and Dissolutions
  • Forgivable Loans and Notes
  • Hiring Staff
  • Internal Investigations
  • Insurance
  • Office of Supervisory Jurisdiction (OSJ) matters
  • Risk Management
  • Representative Agreements
  • Sale of Book of Business
  • Supervision Matters
  • Succession Planning
  • Transitions