IF YOU ARE A BROKER OR INVESTMENT ADVISOR
Mr. Schulz regularly represents stockbrokers and investment advisors in their disputes with broker-dealers or registered advisory firm. As an individual who is intimately knowledgeable and personally familiar with the relationship between the brokerage firms and their brokers/advisors, RIA’s and money management firms; Mr. Schulz is more than qualified to act as an expert in this field. The areas where Mr. Schulz can most likely be of help to a broker would be in the area of licensing, defamation, contractual disputes and wrongful termination, and U-4 and U-5 supposed violations. As to Investment Advisor Representatives, Mr. Schulz can be most helpful in the area of: duties, obligations, licensing requirements, employment disputes, outside business practices, selling away, Investment Advisor Act of 1940, compliance, supervision and regulatory inquiries.
If you are a stockbroker, registered investment advisor, or some other securities professional and you as of yet have not hired a lawyer to represent you. You might consider contacting my wife, Tracy pride Stoneman, Ms. Stoneman is a nationally known securities attorney.