Chavers Law, PLLC represents investors and advisers nationwide in securities, regulatory, compliance and financial industry employment matters. Ms. Chavers' work with both investors and advisers sets her apart from the competition as she has gained insight and knowledge of the financial services industry and the respect of lawyers nationwide on "both sides of the aisle."
Chavers Law, PLLC regularly represents and counsels financial advisers and investment advisers in matters, including, but not limited to:
• CFP Board inquiries, notice of investigations, and formal disciplinary actions, including appeals. Ms. Chavers also counsels CFP Professionals regarding compliance with CFP Board's Rule of Conduct, Standards, and Code of Ethics requirements, including, but not limited to assisting financial planners with questions regarding disclosure and mandatory reporting requirements, during the application process, as well as reinstatement proceedings for CFP Certificants eligible for reinstatement.
• CRD Record and BrokerCheck disclosure disputes and Expungement proceedings.
• FINRA 8210 Inquiries and FINRA Enforcement Defense.
• State & insurance license, registration, examination and disciplinary matters.
• Financial industry employment issues & broker transition matters, such as review of, and consulting with respect to, employment agreements, separation agreements, promissory notes, and all aspects of a broker or adviser's employment relationship with his investment advisory firm and/or broker-dealer.
• FINRA arbitration, litigation and mediation matters. Ms. Chavers has represented investors in matters involving fraud and other broker misconduct, as well as brokers and individual financial advisers in FINRA Dispute Resolution in all stages of the litigation process, including researching and preparing pleadings and filing statements of claim, analyzing defenses and asserting counterclaims, discovery and motion practice, oral arguments, mediation,
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