Bartell Law PLLC

For financial professionals in the fast-paced and heavily regulated world of the securities industry, facing an inquiry or investigation from bodies like FINRA or the SEC can be a career-defining challenge. The stakes are incredibly high, involving not only potential financial penalties but also impacts on professional licenses, BrokerCheck records, and long-term career prospects. In Washington, D.C., a city synonymous with regulation, having specialized legal counsel that truly understands the intricate nuances of financial industry law is not just a benefit—it’s an absolute necessity. Bartell Law PLLC stands as a dedicated and highly effective advocate for financial advisors and other securities professionals navigating these complex legal waters. This article will provide a clear, engaging, and informative overview of Bartell Law PLLC, detailing its convenient location, the specialized services offered, its distinguishing features, and why it is an ideal choice for locals in the District of Columbia’s financial sector.

Bartell Law PLLC is a highly specialized law firm with a singular focus on representing financial professionals. At its helm is Jeremy L. Bartell, a seasoned financial services attorney with 23 years of experience, including a decade with two major national law firms. This extensive background has equipped him with profound expertise in defending many of the nation's largest broker-dealers and investment advisers, and he now dedicates his practice to serving individual financial advisors, including registered representatives, investment adviser representatives, and managers.

Jeremy Bartell’s deep understanding of the regulatory landscape comes not only from his extensive litigation experience but also from holding the Certified Regulatory and Compliance Professional (CRCP®) designation from the FINRA Institute at Georgetown University. This unique blend of practical legal defense and in-depth regulatory knowledge allows Bartell Law PLLC to offer a truly informed and strategic approach. Clients can expect sound legal analysis combined with a keen business sense to weigh the costs and benefits of legal strategies, ensuring that representation is tailored and proportional to the specific legal matter. The firm's philosophy is rooted in providing "Legal Sense | Business Sense | Common Sense," aiming for sensible and economical resolutions to complex legal challenges, without unnecessarily escalating matters unless absolutely required. Their singular client review, though brief, describes them as "Very informative," which aligns perfectly with their mission to provide clarity and expert guidance in often opaque legal situations.

Bartell Law PLLC is conveniently located at 700 12th St NW STE 700, Washington, DC 20005, USA. This address places the firm in a prime, central location within downtown Washington, D.C., ensuring exceptional accessibility for financial professionals across the District of Columbia and the wider metropolitan area. The office is situated in a vibrant commercial district, surrounded by federal agencies, financial institutions, and other corporate entities, making it an ideal spot for professionals in the securities industry.

The accessibility of this location is a significant advantage. For those utilizing the Metrorail system, the Metro Center station, a major hub for the Red, Orange, Blue, and Silver Lines, is within very close walking distance, offering direct connections from nearly every part of D.C., Maryland, and Virginia. Numerous Metrobus routes also operate extensively in the immediate vicinity, providing comprehensive coverage. For clients who prefer to drive, while downtown D.C. can present parking challenges, there are several commercial parking garages available within a short walking distance of the office. The central location ensures that financial professionals can easily reach Bartell Law PLLC for critical consultations and meetings, seamlessly integrating legal appointments into their busy schedules, which is particularly important when navigating sensitive regulatory or employment issues.

Bartell Law PLLC provides highly specialized legal services exclusively focused on the needs of financial professionals within the securities industry. Their expertise is crucial for individuals facing regulatory scrutiny, disciplinary actions, or employment disputes.

• FINRA Investigations, Inquiries, and Exams: Expertly defending financial advisors who receive FINRA Rule 8210 letters, inquiries, investigations, and exams, providing proactive and strategic counsel from the outset.

• FINRA Disciplinary Actions: Representing individuals throughout the FINRA disciplinary process, from initial charges to hearings and appeals, aiming to protect licenses and careers.

• FINRA BrokerCheck Expungement: Assisting financial professionals in expunging damaging disclosures from their FINRA BrokerCheck Report and CRD system, including customer complaints, criminal charges, and FINRA Form U5 terminations, to clear their professional record.

• FINRA Arbitration: Representing financial advisors in both customer disputes (e.g., unsuitable recommendations, unauthorized trading, fraud) and industry disputes with current or former firms (e.g., promissory notes, compensation, Form U5 issues).

• CFP Board Investigations: Providing defense and guidance for Certified Financial Planner (CFP) professionals facing Notices of Investigation, Complaints, Petitions for Consideration, and ethics disclosures from the CFP Board.

• Securities Employment Law: Advising on matters related to employment terminations (FINRA Form U5), promissory notes, compensation disputes, expungement, and smooth transitions between employers in the securities industry.

• Business Litigation: Handling business lawsuits, arbitrations, and mediations for financial professionals, offering economical and focused representation in commercial disputes.

• SEC Regulatory Investigations: While primarily focused on FINRA, the firm also handles certain aspects of SEC regulatory investigations and administrative actions, leveraging Jeremy Bartell's experience with federal regulators.

Their niche focus ensures that clients receive deeply informed and highly relevant legal strategies.

Bartell Law PLLC, under the guidance of Jeremy L. Bartell, offers several distinctive features and highlights that make it a compelling choice for financial professionals in Washington, D.C.:

• Deep Specialization in Financial Services Law: The firm's exclusive focus on representing financial advisors and securities professionals against regulatory and employment challenges means clients receive unparalleled, niche expertise that general practice firms cannot match.

• Extensive FINRA and SEC Experience: Jeremy Bartell's 23 years of experience, including defending major broker-dealers and individual advisors in FINRA and SEC regulatory investigations, disciplinary actions, and arbitrations, provides a formidable advantage.

• Certified Regulatory and Compliance Professional (CRCP®): Jeremy's CRCP® designation from the FINRA Institute at Georgetown University demonstrates an in-depth, academic-level understanding of financial industry regulations and compliance, enhancing the strategic advice provided.

• "Legal Sense | Business Sense | Common Sense" Approach: This philosophy ensures that legal strategies are not only legally sound but also practical, proportional to the issue, and aligned with the client's business objectives, aiming for sensible and economical outcomes.

• Focus on Protecting Careers and Reputations: A core mission is to help financial professionals navigate challenges that could severely impact their BrokerCheck records and professional standing, with a particular emphasis on expungement.

• Free Consultations Offered: The firm offers free initial consultations, allowing prospective clients to discuss their situation without upfront financial commitment and to determine if Bartell Law PLLC is the right fit.

• Prompt and Confidential Communication: Clients are encouraged to reach out for prompt contact, with a clear understanding of confidentiality protocols, ensuring a secure environment for discussing sensitive matters.

As a highly specialized and professional legal services firm, Bartell Law PLLC typically does not offer public "promotions" or "special offers" in the traditional retail sense. Their value proposition is built upon their niche expertise, strategic defense capabilities, and proven track record in navigating complex financial industry regulations and disputes. Instead of traditional discounts, financial professionals can expect to benefit from:

• Free Initial Consultations: Bartell Law PLLC explicitly offers free consultations. This is a significant advantage, allowing prospective clients to confidentially discuss their specific FINRA or securities-related legal issue with Jeremy L. Bartell, assess the complexity of their case, and understand potential strategies and the firm's approach, all without an upfront financial commitment.

• Transparent and Economical Representation: The firm emphasizes providing "sensible and economical" representation, with a focus on delivering value and avoiding unnecessary litigation unless required. This commitment to cost-effectiveness, without compromising on quality, serves as a practical benefit.

• High-Value, Career-Protecting Outcomes: The ultimate "offer" from Bartell Law PLLC is their ability to achieve favorable outcomes that protect a financial professional's career, license, and reputation. Successfully navigating a FINRA investigation or achieving BrokerCheck expungement provides invaluable, long-term security that far outweighs any short-term promotional incentive.

For specific details on their fee arrangements or to schedule a free and confidential consultation, it is always best to contact Bartell Law PLLC directly.

For financial professionals in the District of Columbia seeking highly specialized legal defense and guidance from Bartell Law PLLC, here is their direct contact information:

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

Phone: (202) 430-1040

Mobile Phone: +1 202-430-1040

Given the sensitive and often urgent nature of regulatory inquiries and disciplinary actions in the financial industry, it is highly recommended to reach out for a confidential consultation promptly. Jeremy Bartell and his team are prepared to provide immediate attention to your specific legal needs.

For financial professionals residing or working in the District of Columbia, Bartell Law PLLC is an exceptionally suitable, indeed crucial, legal partner. Firstly, its prime location at 700 12th St NW in downtown D.C. offers unparalleled accessibility. Situated just steps from Metro Center, it is conveniently reachable from across the District, Maryland, and Virginia, making it practical for busy financial advisors to attend consultations without significant disruption to their schedules.

Secondly, and most importantly, the firm's deep and exclusive specialization in financial services law sets it apart. In a city like D.C., where regulatory bodies like FINRA and the SEC have a strong presence, having an attorney like Jeremy L. Bartell, with 23 years of experience and a CRCP® designation, is invaluable. He speaks the language of the financial industry and understands the intricate regulatory framework, allowing him to provide highly targeted and effective defense strategies for FINRA investigations, arbitration, BrokerCheck expungement, and securities employment matters. This niche expertise is far more beneficial than engaging a general practice attorney.

The single client review, stating "Very informative," while brief, aligns perfectly with the firm's mission to provide clarity and expert guidance in often opaque legal situations. For locals in D.C. whose careers and reputations are tied to the financial services industry, Bartell Law PLLC offers not just legal representation but a strategic partner dedicated to protecting their professional future with "Legal Sense | Business Sense | Common Sense." This makes them an essential resource for navigating the highly regulated environment of the District's financial sector.