Gonser Law PC represents and defends financial advisers in regulatory, compliance, disciplinary and employment matters often utilizing the arbitration process. We frequently defend forgivable loan collection actions, negotiate acceptable language for a terminating broker’s Form U-5 and if necessary, prosecute Form U-5 defamation actions. In addition, we counsel advisers with implementation of a successful transition strategy from firm to firm as well as provide counsel on how to negotiate the best possible employment/independent contractor agreements with a new firm. Our firm has had success obtaining expungement of customer claims, arbitration awards and other damaging entries from registered representatives Form U-4’s and Form U-5’s by way of seeking an arbitration panel’s findings mandating removal of the entries. Finally, Gonser Law also has experience representing brokers and investment advisors before the various regulatory bodies such as the SEC, FINRA and state securities regulators.