Representation of Financial Professionals

Ian has been selected as a Massachusetts Super Lawyer. Only 5% percent of attorneys are selected each year, based on peer recognition and professional achievement.
Ian has been selected as a Massachusetts Super Lawyer. Only 5% percent of attorneys are selected each year, based on peer recognition and professional achievement.

Representation of Financial Professionals

In 2019, attorney Ian McLoughlin returned to private practice after working as Senior Enforcement Counsel in FINRA’s Boston office. He has since successfully represented brokers, investment advisers and other financial professionals in:

  • FINRA investigations and proceedings, including responding to Rule 8210 requests;
  • SEC investigations and proceedings, including representing witnesses who are subpoena’d for documents and deposition testimony;
  • CFP Board investigations and proceedings, including responding to information requests;
  • Understanding the disclosure requirements of the Securities Industry’s Form U4 and Form U5 and the process for expunging a broker’s record; and
  • Assisting brokers who transition firms, advising them regarding promissory notes, non-competition agreements and other restrictive employment covenants.

Attorney McLoughlin is also on FINRA’s roster of independent arbitrators.

Ian McLoughlin has significant experience in FINRA and securities related cases. If you are a financial professional seeking legal advice in this area, contact him at (617) 869-4689.

 

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If you are looking for high quality legal representation from an experienced securities lawyer in a FINRA, SEC or court proceeding, please contact us using the form below or call us at 617.869.4689.

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