Jamie Helman represents broker-dealers, investment advisers, individual registered representatives and other financial industry clients in customer and employment arbitrations, litigation, and regulatory matters. Jamie arbitrates disputes before the Financial Industry Regulatory Authority (FINRA) and the American Arbitration Association (AAA). She provides counsel on regulatory and compliance issues such as the development of policies and procedures in response to the ever-changing regulatory environment. Jamie is a member of the firm’s best interest compliance cross-disciplinary team, which advises financial services clients and prepares them for the changing regulatory landscape. She contributes to firm’s Broker-Dealer Law Blog
, which provides practical insights on litigation, regulatory, compliance and fiduciary issues impacting broker-dealers.