My RIA Lawyer is taking legal and compliance services to the next level by bringing both under one roof. We help financial advisers and firms navigate the legal complexities of the financial services world. From FINRA to the SEC, NFA and CFTC to state securities commissions, we help understand and comply with all the regulating bodies that govern the services you provide. From start-up to acquisition or wind-down, we protect your firm and assist with each stage of your business. Our services include RIA and BD registration, compliance services, regulatory defense, private fund services, mergers and acquisitions, mock examinations, expungements and arbitration services. We are here to assist you so that you can spend more time focused on transforming the lives of your clients.

My RIA Lawyer is the legal and compliance partner to Myriad Advisor Solutions.Myriad Advisor Solutions is a business consulting firm and one stop shop for independent financial advisors.Our focus and dedication is to provide big company resources for independent business owners which help them:Operate the business more efficientlyReduce operating expensesBusiness growth through strategic hires, client event planning, and streamlined back office support

Sowell Management provides a full suite of customized services to Financial Advisors as IARs or through their own RIA. The firm gives advisors "time" back in their day to manage client relationships by offloading non-revenue producing tasks.

As Corporate Counsel for J.P. Turner, I defended the Firm and our registered representatives against securities related claims using alternative dispute resolution. I was responsible for drafting amendments to contracts and licensee agreements with new registered representatives. I also reviewed and drafted contracts with vendors, such as third party recruiters and technology and phone providers. I was responsible for day to day corporate housekeeping, such as updating all required postings, assisting in the annual errors and omissions insurance and fidelity bond renewal process, and renewing our business licenses annually. I dealt with employment issues such as responding to unemployment claims and ensuring we abide by applicable laws for unpaid interns. I was responsible for hiring, training and supervising the Office of the General Counsel’s legal interns. During my three and a half years at J.P. Turner, I assisted the General Counsel in meeting the challenges of our changing economy and new securities legislation by implementing new due diligence and suitability standards for our private placements and enforcing them as a member of the New Products Committee.Areas of law covered: corporate, securities, employment, contract.

As an intern, I quickly learned the intricacies of the securities industry by responding and providing documentation to FINRA and the SEC. I prepped J.P. Turner representatives and employees for On the Record interviews and was a point of contact for FINRA for any follow up inquiries. I responded to third party discovery requests and served as the Custodian of Records. I worked closely with outside counsel and drafted answers, document requests, responses to document requests, and motions for arbitrations. I also conducted profit and loss analyses of accounts in question, calculated turnover and conducted telephonic interviews with the registered representatives involved in the various matters.