MAH Advising is a full service law firm representing clients in matters form litigation, securities law, bankruptcy and more.
MAH Advising Represents Professionals and Firms in the Securities Industry
MAH Advising represents many of the nation’s most prominent brokers and RIA’s. Our law firm specializes in investment adviser regulation, broker/dealer regulation, securities regulation, litigation, and arbitration. We have experience at some of the top law firms and investment banks. Our lawyers have years of experience with regulatory law and regulators, which allowed them to develop skills and specialized knowledge. We have a broad understanding of both the regulatory and the regulated perspectives of the financial services industry. The insight that only comes with experience allows us to give our clients valuable advice.
At times businesses don’t go according to plan, in that case don’t let a deal gone bad ruin your financial status. MAH Advising counsels individuals as seasoned businesses in Chapter 7 and Chapter 11 Bankruptcy proceedings.
Financial Services and Securities Litigation and Arbitration
MAH Advising represents clients in defending and prosecuting claims. The main types of disputes that have arisen from RIAs or securities firms consist of arbitration proceedings involving RIA employees, noncompetition and raiding cases, breach of employment contracts, promissory note cases, and breach of purchase and sales agreements, among many others. There are usually laws and regulations which apply to a particular case based on its type. Under FINRA standards, customer recommendations regarding the sale or purchase of unsuitable security are prohibited, when the investment objectives, customer’s age, financial picture, and experience make this recommendation unreasonable. The frequency or amount of transactions among certain securities are often regarded as excessive and, therefore, unsuitable for a particular customer. Besides unauthorized trading, churning, and self-dealing, other common customer disputes are regarding allegations of failure to perform fiduciary duties.
Firms frequently face some legal actions stemming from breaches of contracts between affected employees or advisors. Often in these matters, interpretation is required of complicated contracts or laws pertaining to the partnership arrangement between an employer and employee or adviser, including non-competition laws, protocols of the private sector, common law rules, and standards for client choice.