FAQs
What can you do for me and my business?
We can help you litigation-proof your business and protect your reputation by keeping you in compliance with layers of SEC, FINRA, and state securities and insurance regulations. If you are thinking of moving to a new broker-dealer or starting your own RIA, we can help you make that transition in a way that keeps you out of litigation and protects your book. If you are facing litigation, we can defend your interests and help you find the most cost-effective and wisest solution to your legal problems.
How do you approach litigation cases and compliance problems?
We collaborate with you and your team to figure out immediately what you want and need from your scenario and what can be done to solve your legal or compliance problem swiftly. You want your problems over with so you can do business. We do too. We don’t just take a file and run with it. You will be a part of the process from the beginning and your concerns are our top priority.
How are you paid?
Depending on the circumstances and the issues you face, we will either work on an hourly basis, or contingency, or a blend of the two. Talk to us about your scenario and we will give you an honest and direct assessment of the potential costs. From there we can decide on a budget that makes sense. Predictability and flexibility are our watchwords.
Are You Ready to Talk About Your Situation?
Contact the Attorneys at Law Offices of Christopher H. Tovar, PLLC.
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Securities Practice Group
The Law Offices of Christopher H. Tovar, PLLC are headquartered in Southeast Michigan. Christopher H. Tovar is licensed in Michigan, Texas, Florida, New York, and Illinois and operates nationwide.*
* Michigan, Florida, Illinois, California, and New Jersey require bar membership to arbitrate FINRA cases in their jurisdictions. The Law Offices of Christopher H. Tovar, PLLC maintains relationships with attorneys in all 50 states and can arbitrate your case on a pro hac basis.
Tags: SEC industry FAQs SEC regulations for financial advisors securities industry law firm