[vc_row parallax=”.2″ disable_container=”1″][vc_column width=”1/1″][vc_raw_html]JTNDaW1nJTIwc3JjJTNEJTIyaHR0cCUzQSUyRiUyRnd3dy50aGVzaGF3bGF3Z3JvdXAuY29tJTJGd3AtY29udGVudCUyRnVwbG9hZHMlMkYyMDE0JTJGMTElMkZTaGF3LU1haW4tSGVhZGluZy5qcGclMjIlMjB3aWR0aCUzRCUyMjEwMCUyNSUyMiUyMGhlaWdodCUzRCUyMmF1dG8lMjIlMjAlMkYlM0U=[/vc_raw_html][/vc_column][/vc_row][vc_row class=”first-row-wrap” id=”sa-link”][vc_column width=”1/3″][wm_content_module module=”service-agreements” count=”1″ columns=”1″ order=”new” align=”left” layout=”image,content” image_size=”full” class=”homepage-icon-boxes”][/vc_column][vc_column width=”1/3″][wm_content_module module=”service-agreements-2″ count=”1″ columns=”1″ order=”new” align=”left” image_size=”full” layout=”image,content”][/vc_column][vc_column width=”1/3″][wm_content_module module=”industries” count=”4″ columns=”1″ order=”new” align=”left” image_size=”full” layout=”image,content”][/vc_column][/vc_row][vc_row padding=”0 100px 0 100px” margin=”0 0 50px 0″][vc_column width=”2/3″][wm_text_block]A highly skilled, results-driven securities attorney experienced in providing advice and guidance on a broad range of regulatory, compliance and enforcement matters to broker-dealers, registered investment advisers, hedge funds, private equity firms, and the financial advisors associated with these entities. A former FINRA senior counsel who possesses a thorough understanding of the laws, rules, and regulations pertaining to broker-dealers and registered investment advisers (including the Investment Advisers Act of 1940, the Securities Act of 1933, and the Securities and Exchange Act of 1934). A former financial advisor experienced in counseling clients on business strategy, succession planning, investments and insurance. Committed to a culture of excellence and ethics in securing long-term success and profitability for clients.

Provide legal and compliance services to broker-dealers, registered investment advisers, hedge funds, private equity firms, and financial professionals associated with these entities. Apply a comprehensive approach to implementing compliance procedures that incorporate firm policies, regulatory requirements and the ethical standards imposed by organizations that issue financial services designations. Services include creation of procedures manual, training, conducting annual compliance reviews, responding to regulatory inquiries, and representation before disciplinary and arbitration proceedings.

I will leverage my corporate legal and regulatory compliance experience gained as the former head of enforcement at Certified Financial Planner Board of Standards (CFP Board) and former senior counsel of regulatory policy at FINRA to provide superior legal services at competitive hourly rates and fixed fee arrangements to individuals and firms in the financial services industry. I can assist such individuals and firms by setting up and monitoring compliance processes that incorporate firm policies, laws, rules, regulations and professional standards. I can also represent individuals and firms if they become subject to a government or self-regulatory (for example, FINRA) investigation.

A particular area of expertise is in assisting financial advisors who hold financial services designations including, but not limited to, those listed below. Financial advisors who hold these designations are subject to investigation and potential enforcement action for non-compliance with the ethical standards of the organization that issues the designation. I can assist firms that employ these financial advisors by implementing firm processes and procedures that incorporate these ethical standards. I can also represent these financial advisors if they are investigated.[/wm_text_block][/vc_column][vc_column width=”1/3″][wm_image src=”220″ margin=”20px”][/vc_column][/vc_row][vc_row class=”homepage-oncallgenius-wrap”][vc_column width=”1/1″][vc_row_inner][vc_column_inner width=”1/1″][wm_text_block]

Email – Michael@TheShawLawGroup.com    Phone – 202.664.0765

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