Who We Are

Attorneys Who Think Like Financial Planners

Our Clients want attorneys who think like they do. They don’t want to explain the ins and outs of financial services regulations and requirements. They want legal and compliance advice, guidance and representation from someone who knows.

About The Shaw Law Group

Built by and for financial services experts, The Shaw Law Group is dedicated to helping clients identify new opportunities, make informed decisions and navigate legal and compliance challenges. Backed by extensive experience gained at some of the most prominent financial planning and regulatory agencies (FINRA and CFP Board), we keep a laser focus on legal and compliance issues impacting the financial services industry.

We don’t simply react when issues arise. WE bring our in-house legal and financial services regulatory perspective to the compliance planning process, as well.

About Michael P. Shaw, Esq.

Founder Michael P. Shaw, Esq. has over 25 years of experience in financial services — as an attorney, financial advisor and consultant. While at the Certified Financial Planner Board of Standards, Inc. (CFP Board), Mr. Shaw collaborated to develop compliance guidelines and tools for more than 70,000 financial advisors who hold the CFP® designation, including investment advisors, registered representatives at broker-dealers, insurance agents and trust offices. At NASD (now FINRA), he provided guidance to senior executives on securities and regulations impacting broker-dealers. Previously, Mr. Shaw was in-house counsel for Monumental Life Insurance Company in Baltimore, where he gained expertise in insurance regulations and litigation.  Prior to attending law school, Mr. Shaw began his career as a financial advisor for Northwestern Mutual Life Insurance Company.   

Today, Mr. Shaw leads The Shaw Law Group in serving financial services firms and advisors as a consultant, advisor and attorney.  

Education

J.D., The Catholic University of America
B.S., Economics, Marquette University

Licenses

District of Columbia Bar
Maryland Bar
Series 6 and 7 (both inactive)

Certifications and Designations

Certified Regulatory Compliance Professional (CRCP) – FINRA Institute at Wharton
Chartered Financial Consultant (ChFC) – The American College of Financial Services
Chartered Life Underwriter (CLU) – The American College of Financial Services

Resources

The Challenge of Complying with Multiple and Differing Fiduciary Rules, July 2016 issue of Currents, a monthly publication of the National Society of Compliance Professionals

CFP(R) Fee-Only Guidance, July 2015, Oyster Consulting News & Events

Mike was referred to me by one of my clients…. From the moment I first spoke with him, he instilled confidence that he was the right one to hire. I could sense his true honesty and professionalism just from the initial phone call. I would not hesitate to hire Mike again or refer him with confidence to others.

Thomas

CPA

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