Prominent Wealth Advisor – Internal Investigations and Government Inquiries

Successfully defended a wealth advisor from a global financial services firm in both an internal investigation and inquiries from FINRA and the CFB Board arising from allegations of unauthorized, risky trades that resulted in losses to a client’s accounts. Herrick negotiated the advisor’s exit from the firm and assisted in an effective transition to new firm. Additionally, the team fended off the inquiries from the government agencies, resulting in no-action letters for the advisor.