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Brokers / Dealers / Financial Advisors



In addition to litigation and transactional counseling, brokers/dealers and financial advisors routinely engage our attorneys for a variety of legal services including formation, creation of written supervisory procedures, compliance-related counseling, internal investigations, and Form U4 and U5 disclosures.

Our team regularly represents broker/dealers, investment advisory firms, registered representatives and investors in arbitration and mediation before the Financial Industry Regulatory Authority (FINRA) and in state and federal court litigation.

We serve as outside general counsel for various independent financial advisor firms and have substantial experience with advising financial advisors on compliance, employment, commercial, real estate and wealth planning matters.

One of our greatest strengths is our substantial experience litigating disputes involving claims of churning, fraud, unauthorized trading, market manipulation, failed supervision, suitability, account liquidation, defamation, non-compete agreements, non-solicitation agreements, forgivable loans, promissory notes, raiding, TROs and other injunctive relief, discrimination, retaliation, whistle-blowing, and breach of contracts.


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The information on this website is for general information purposes only. Nothing on this site should be taken as legal advice for any individual case or situation. This information is not intended to create, and receipt or viewing does not constitute, an attorney-client relationship. © 2016 Sandberg Phoenix & von Gontard P.C. All Rights Reserved. Sandberg Phoenix & Von Gontard a law firm with a primary office located in Downtown St. Louis, Missouri. Website Design by Timmermann Group