Steele City Securities Lawyers

Bryan Hill focuses on the legal and regulatory challenges facing investment advisers, broker-dealers and investment professionals (i.e., investment adviser representatives and registered representatives). Bryan assists investment advisers, broker-dealers and their representatives with a variety of legal issues related to (i) recruiting, contracting with and onboarding new representatives, (ii) developing supervisory agreements, (iii) establishing marketing and/or solictor arrangements, (iv) creating, reviewing and updating investment advisory client and sub-advisory agreements, (v) conducting internal investigations of customer complaints, (vi) preparing responses to regulatory inquiries and investigations, and (vii) terminating the affiliation between representatives and their firms. *Bryan Hill is admitted for the practice of...