Legal Support & Referrals

Experienced Advisor Consulting, through our vetting process, can provide referrals to various, respected legal counsels that have the experience and talent to help our clients with any of the following issues:

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• Legal advice for potential client complaints.
   

• Legal advice and representation against current or former Broker/Dealers on different topics.
   

• Evaluating the possibility of vacating complaints on an advisor’s U4 or modifying language of a U5 filing.
   

• Legal advice about any Human Resources issues that could be logged against an advisor.