FINRA Defense Attorney and Investment Lawyer for Financial Professionals: Trusted Counsel in a Complex Industry

The investment industry has never been more complex or more scrutinized. Financial professionals are expected to deliver sound advice, navigate shifting regulatory standards, and defend their conduct under the threat of arbitration, compliance action, or reputational harm. When legal issues arise, having an experienced and strategic FINRA defense attorney and investment lawyer by your side is critical.

At AMW Law PLLC, we represent stockbrokers, financial advisors, and registered representatives in disputes involving customer complaints, intra-industry arbitrations, Form U4/U5 disclosures, and regulatory investigations, including FINRA inquiries and SEC investigations. Led by Artur M. Wlazlo, a former FINRA enforcement attorney and current FINRA arbitrator, our firm brings deep industry insight to every matter.

Whether you're defending your reputation or seeking guidance during a challenging transition, we provide clarity, discretion, and advocacy that puts your interests first.

Legal Issues Financial Professionals Commonly Face

While much of the public thinks of “investment law” in terms of investor protection, professionals know that the stakes are just as high on the other side of the table. Even a single customer complaint, founded or not, can damage your CRD record, trigger a regulatory referral, or lead to internal discipline or termination.

We assist stockbrokers and advisors with a range of legal issues, including:

• FINRA Arbitration Defense: Responding to customer claims alleging inappropriate recommendations, misrepresentation, overconcentration, or unauthorized trading.

• Form U5/U4 Disclosure Issues: Advising on disclosures, challenging defamatory language, and managing expungement proceedings.

• Intra-Industry Arbitration: Defending or initiating promissory note disputes, bonus recovery claims, or compensation-related actions against former employers.

• Regulatory Inquiries and 8210 Letters: Helping clients respond to document requests, prepare for OTRs, and mitigate exposure in FINRA or SEC investigations.

• Transition Issues and Restrictive Covenants: Reviewing non-solicit agreements and advising on legal risks during firm departures or client migration.

Each of these matters carries both legal and career implications. We approach them with strategic foresight, professionalism, and a deep understanding of how regulators and firms operate.

A Legal Perspective Shaped by Industry Experience

Few attorneys bring the level of industry familiarity that Artur M. Wlazlo does. With over 20 years of experience across four critical roles, he offers clients a full-picture perspective that informs every decision:

• As a FINRA enforcement attorney, he investigated and prosecuted broker misconduct, gaining insight into the internal mechanics of regulatory action.

• As a litigator at Greenberg Traurig LLP, he defended national broker-dealers and their representatives in arbitrations and regulatory proceedings.

• As a current FINRA arbitrator, he helps decide cases between brokers and customers and in intra-industry disputes.

• As a defense attorney, he now represents individual professionals navigating the legal pressures of the investment world.

This rare combination allows AMW Law PLLC to anticipate how firms and regulators will approach your matter and how to stay one step ahead.

Reputation Matters: U5 Language and Expungement

Few things can harm a broker’s future as quickly as a negative U5 filing. Even if you weren’t terminated “for cause,” the narrative in the U5 can raise red flags for future employers, clients, or compliance reviews. We help clients:

• Negotiate accurate and neutral U5 language

• Challenge defamatory or misleading disclosures

• File for expungement of false or resolved customer claims

• Respond to inquiries from hiring firms or compliance teams

Your reputation is your currency in this industry. We treat it that way.

Navigating Regulatory Investigations

If you’ve received a FINRA 8210 letter, a Wells Notice, or been contacted by the SEC or state regulators, now is the time to secure counsel. Regulatory investigations can move quickly and have wide-ranging consequences. What you say, or don’t say, early on may determine whether your matter escalates. We advise clients on:

• Responding to document and testimony requests

• Preparing for on-the-record interviews (OTRs)

• Evaluating settlement versus litigation risk

• Identifying and preserving mitigating evidence

• Maintaining confidentiality while defending your rights

We’ve been inside FINRA Enforcement. We know what they look for, and how to challenge flawed allegations.

Why Professionals Choose AMW Law PLLC

When your career is on the line, you want counsel who:

• Knows how the industry actually works

• Has navigated the regulatory process from the inside

• Treats your case with discretion, urgency, and professionalism

• Can communicate effectively with arbitrators, regulators, and firm counsel alike

Artur M. Wlazlo offers all of this, with the added benefit of being local to the New York/Long Island region but available to handle cases nationwide.

We don’t run a volume practice. Every client gets direct access to Mr. Wlazlo and a defense strategy tailored to their career, financial circumstances, and goals.

Contact an Investment Lawyer for Advisors and Brokers

If you’re facing a customer arbitration, promissory note lawsuit, U5 dispute, or regulatory inquiry, contact AMW Law PLLC today. We provide confidential consultations and clear strategic advice for financial professionals in New York, Long Island, and across the U.S.

When your future is at stake, work with an investment lawyer who’s been there, from both sides, and who knows how to protect what you’ve built.