Bartell Law PLLC

Bartell Law is a securities arbitration, regulatory defense and litigation firm headed by Jeremy Bartell, a financial services litigator with over 23 years of experience. The firm represents registered broker-dealers, registered investment advisers, and individual financial professionals, including financial advisors, investment bankers, traders, research analysts, and compliance officers. The firm focuses on defending and advising financial advisors in FINRA Investigations, Inquiries and Exams (FINRA Rule 8210 letters); FINRA Arbitration (customer complaints and industry disputes); FINRA Brokercheck Expungement (complaints, criminal charges, FINRA Form U5 terminations); FINRA Form U4 disclosures (criminal charges, customer complaints, outside business activities and regulatory actions); securities employment disputes (compensation, promissory notes, and FINRA Form U5 terminations); and CFP Board Notices of Investigation, Complaints, Petitions, and ethics disclosures.