Jeremy L. Bartell Email & Phone Number

Washington D.C. Metro Area

I represent financial professionals 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.

Boston

Specialized in representing national broker-dealers, investment advisers and registered representatives in FINRA arbitrations, and in regulatory investigations and administrative actions by the SEC, FINRA, state securities regulators and state attorneys general. Also handled a variety of complex commercial litigation.

Litigated a variety of complex commercial cases, including class actions, intellectual property disputes, failed corporate transactions, corporate governance disputes, and claims against broker-dealers and other financial institutions for fraud, breach of fiduciary duty, and failure to supervise.

Boston

Judicial clerk to Justice Raya S. Dreben. Examined appellate briefs, researched civil and criminal legal issues, attended oral arguments and prepared draft judicial opinions.

Served three-year active duty tour in Germany, including nine months in Saudi Arabia, Iraq and Kuwait during the Persian Gulf War. Army Commendation Medal, National Defense Service Medal, Southwest Asia Service Medal with 3 bronze campaign stars, Kuwaiti Liberation Medal. Honorably discharged.

Jd, Magna Cum Laude, Law

Activities and Societies: Boston University Law Review, Note Editor

B.S., Summa Cum Laude, Business Administration

Minors: Economics, German