Bartell Law PLLC

In the complex and highly regulated world of financial services, legal challenges can emerge unexpectedly, threatening careers, reputations, and livelihoods. For financial advisors and professionals operating within the District of Columbia, having access to specialized legal representation is not just beneficial, but often critical. This is precisely where Bartell Law PLLC distinguishes itself. Located in the heart of Washington, D.C., Bartell Law PLLC is a dedicated legal practice with a sharp focus on defending financial advisors and other securities professionals in various regulatory, disciplinary, and employment-related matters.

Bartell Law PLLC understands the unique pressures and stringent rules governing the financial industry. They pride themselves on offering tailored, economical, and focused representation to their clients. Their approach is built on a foundation of "Legal Sense | Business Sense | Common Sense," recognizing that legal strategies must align with their clients' business realities and personal goals. When your career or business is at stake due to a regulatory inquiry, a customer complaint, or an employment dispute, you need legal counsel that is not only well-versed in the law but also intimately familiar with the nuances of the financial sector. This specialized knowledge is a hallmark of Bartell Law PLLC, ensuring that clients receive relevant, strategic, and effective advocacy. A client review highlighted, "Very informative," underscoring the firm's commitment to clear communication and client understanding.

The firm’s mission is to provide comprehensive legal support that helps financial professionals navigate potentially damaging situations, protect their hard-earned reputations, and continue to thrive in their careers. They aim to resolve disputes efficiently and economically, allowing clients to return to their core business activities with peace of mind.

Bartell Law PLLC is strategically located at 700 12th St NW STE 700, Washington, DC 20005, USA. This central downtown D.C. address places the firm in a highly accessible and prominent part of the city, making it convenient for clients residing or working anywhere in the District of Columbia and the broader metropolitan area.

The 700 12th Street NW location is nestled within Washington, D.C.’s vibrant business and financial district. This area boasts excellent connectivity through the city’s extensive public transportation network. For those utilizing the Metro, the firm is just a short walk from several key stations, including Metro Center (serving the Red, Orange, Silver, and Blue Lines) and McPherson Square (Orange, Silver, and Blue Lines). This allows for easy commutes from various D.C. neighborhoods, as well as from Maryland and Virginia, which are well-connected by the regional Metro system.

For clients who prefer to drive, the downtown area offers numerous parking garages within close proximity to the building, though public transportation is often recommended to avoid traffic and parking challenges inherent to a major city. The firm’s location in a hub of professional activity also means convenient access to other amenities and services should clients need them before or after their appointments. This prime address underscores Bartell Law PLLC’s commitment to being readily available to the financial professionals they serve in the nation's capital.

Bartell Law PLLC provides a specialized suite of legal services tailored specifically to the needs of financial advisors and professionals. Their practice areas are designed to address the unique challenges faced within the securities industry.

• FINRA Investigations, Inquiries, & Exams: Defending financial advisors in FINRA Rule 8210 investigations and inquiries, FINRA exams, and regulatory interviews. This includes preparing responses to allegations, developing legal defenses based on FINRA sanctions guidelines, and guiding clients through the entire process to prevent escalation into formal disciplinary actions.

• FINRA Disciplinary Actions: Representing clients facing formal disciplinary proceedings initiated by FINRA, including negotiating with regulators and conducting disciplinary hearings.

• FINRA Expungement: Assisting financial professionals with expunging adverse information, such as customer complaints, criminal charges, and employment terminations (FINRA Form U5 disclosures), from their FINRA BrokerCheck Report and CRD system. This is crucial for protecting professional reputations.

• FINRA Arbitration: Representing financial advisors in disputes with customers (customer disputes) and with current or former firms (industry disputes) through FINRA arbitration proceedings. The firm seeks creative, mutually-beneficial resolutions to end disputes efficiently.

• CFP Board Investigations: Providing legal counsel for Certified Financial Planner (CFP) professionals facing investigations, complaints, or ethics disclosures by the Certified Financial Planner Board of Standards.

• Securities Employment Law: Advising and representing financial professionals on employment-related matters within the securities industry, including issues related to employment terminations (FINRA Form U5), promissory notes, compensation disputes, and navigating employer transitions.

• Business Litigation: Handling a wide variety of commercial litigation for corporations, financial firms, trusts, and individuals, including corporate governance disputes, breach of contract, fraud, and other business-related lawsuits, arbitrations, and mediations, with an emphasis on economical and focused representation.

• FINRA Form U4 and Form U5 Disclosure Matters: Guiding financial advisors through the complexities of making accurate and timely disclosures to FINRA on their Form U4 (Uniform Application for Securities Industry Registration or Transfer) and Form U5 (Uniform Termination Notice for Securities Industry Registration). This includes addressing common disclosure issues like criminal charges, liens, bankruptcies, customer complaints, and outside business activities.

Bartell Law PLLC stands out in the D.C. legal landscape for several distinct features and highlights that make them a preferred choice for financial professionals.

• Highly Specialized Expertise: The firm's exclusive focus on representing financial advisors and securities professionals means they possess an in-depth understanding of FINRA rules, SEC regulations, and the unique challenges of the financial industry. This specialization translates into more effective and targeted legal strategies.

• Experienced Advocacy: The attorneys at Bartell Law PLLC bring significant experience in navigating FINRA investigations, arbitration, and expungement processes. This hands-on experience is critical for achieving favorable outcomes in complex regulatory and dispute resolution scenarios.

• Client-Centric Approach: With a commitment to "Legal Sense | Business Sense | Common Sense," the firm ensures that legal advice is not only sound but also practical and aligned with the client's business and personal objectives. They prioritize understanding the client's specific situation and delivering tailored solutions.

• Reputation Protection Focus: A significant aspect of their work involves helping clients protect and restore their professional reputations, particularly through FINRA BrokerCheck expungement, which can be vital for a financial advisor's career.

• Efficient and Economical Representation: Bartell Law PLLC aims to resolve legal matters as efficiently and cost-effectively as possible, understanding that protracted legal battles can be detrimental to financial professionals. They seek creative solutions to minimize disruption and expense.

• Proactive Guidance: Beyond reactive defense, the firm also provides proactive guidance on compliance and disclosure matters, helping clients avoid potential issues before they escalate.

• Positive Client Feedback: The review noting "Very informative" highlights the firm's dedication to clear communication and ensuring clients are well-aware of their options and the legal process.

Bartell Law PLLC understands the importance of initial guidance and transparency. They offer a free consultation for prospective clients. This is a valuable opportunity for financial professionals in the District of Columbia to discuss their specific legal concerns without an upfront financial commitment. During this consultation, you can gain an understanding of your legal options, the potential costs involved, and how Bartell Law PLLC can assist you. This complimentary initial meeting reflects the firm's commitment to providing accessible and client-focused legal services. It is recommended to contact them directly to schedule this consultation and clarify any details regarding their fee structure.

If you are a financial professional in the District of Columbia and require expert legal assistance for FINRA-related matters, securities employment issues, or business litigation, Bartell Law PLLC is ready to help.

• Address: 700 12th St NW STE 700, Washington, DC 20005, USA

• Phone: (202) 430-1040

• Mobile Phone: +1 202-430-1040

Reaching out via phone is the most direct way to connect with their office and arrange for your confidential consultation.

For financial professionals and businesses operating in the District of Columbia, Bartell Law PLLC offers an unparalleled combination of specialized legal expertise and local accessibility. The firm's strategic location in downtown D.C. ensures that clients can easily reach their offices, whether utilizing the city's robust public transportation system or driving in from various parts of the metropolitan area. This convenience is crucial for busy professionals navigating demanding careers.

What truly sets Bartell Law PLLC apart for locals is their singular focus. Washington, D.C., is a hub for finance, regulation, and business. Financial advisors in this region face a unique set of regulatory scrutiny and compliance demands. Bartell Law PLLC’s deep specialization in FINRA investigations, expungement, arbitration, and securities employment law directly addresses these specific needs. They understand the intricacies of BrokerCheck disclosures, the pressures of FINRA Rule 8210 letters, and the vital importance of protecting a financial professional's career and reputation.

The firm’s philosophy of "Legal Sense | Business Sense | Common Sense" resonates strongly with the pragmatic and results-oriented nature of the D.C. professional landscape. They prioritize efficient, economical solutions, recognizing that legal challenges should not derail a career or business indefinitely. The positive client feedback, such as being "Very informative," further underscores their commitment to clear communication and client empowerment, which is highly valued in any legal relationship.

In a city where professional reputation is paramount, Bartell Law PLLC acts as a dedicated guardian for financial advisors. Their targeted services, combined with their local presence and client-focused approach, make them an ideal legal partner for anyone in the District of Columbia's financial industry seeking expert, reliable, and understanding legal representation. For D.C.'s financial professionals, Bartell Law PLLC provides not just legal defense, but a strategic alliance designed to safeguard their future.