For Brokers

Banks Law Office does not defend financial advisers or stock brokers in claims brought by investors in court or FINRA arbitration. However, we do represent brokers and FAs in claims brought by or against broker-dealers, and occasionally on expungement matters. We have experience representing FAs in promissory note cases, and in termination and compensation issues. We know the rules and we know the industry. Our expertise in FINRA matters can be critical for an FA who finds himself in need of legal help.

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Contingency Fee: No Fee Unless You Recover In Most Cases.

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