With a member who is himself a FINRA arbitrator, Matasar Jacobs is one of the most experienced law firms in the region at defending broker/dealers firms, RIAs, life insurance companies and their people in civil litigation and arbitration. We regularly represent clients throughout the Midwest and around the country on matters including:
- Investigating alleged breaches of suitability rules and other sales practice violations
- Defending firms and advisors in FINRA customer arbitrations
- Litigating FINRA intra-industry business disputes on behalf of both claimants and respondents
- Form U4/U5 Expungement and other employment-related matters
- Defending carriers and agents in life insurance product litigation
- Representing advisors in white collar criminal matters
