Ryan Swanson & Cleveland, PLLC
401 Union Street, Suite 1500
Seattle, WA 98101-2668
206.464.4224
Ryan Swanson & Cleveland, PLLC
401 Union Street, Suite 1500
Seattle, WA 98101-2668
206.464.4224

Ryan Swanson & Cleveland, PLLC
401 Union Street, Suite 1500
Seattle, WA 98101-2668
206.464.4224

Registered Investment Advisors

OUR TEAM

Registered Investment Advisors (“RIAs”) are often presented with many challenges when dealing with complex legal, regulatory and compliance issues. Ryan Swanson’s services for RIAs are focused on guiding you through these obstacles to solve problems that can impede your ability to service your clients effectively. The following list is a sampling of the services Ryan Swanson’s attorneys regularly provide for a wide variety of RIAs and their clients throughout the Pacific Northwest.

SECURITIES ENFORCEMENT DEFENSE
  • Defend RIAs in securities enforcement investigations and actions brought by the SEC and State of Washington DFI Securities Division
  • Counsel clients on regulatory/reporting issues
  • Work with compliance consultants on legal aspects of compliance issues
LITIGATION/ARBITRATION
  • Defend RIAs in customer claims asserted privately or brought in court or arbitration
  • Negotiate/mediate resolutions of customer claims
  • Investigate and prosecute claims by RIAs against investment sponsors

EMPLOYMENT ISSUES

  • Create employment agreements
  • Negotiate severance agreements
  • Defend against employment matters – traditional/contractual/public policy claims
  • Litigate enforceability of employment agreements – non-compete, non-solicitation provisions
  • Protect confidential information and trade secrets
  • Address Electronically-Stored Information (“ESI”) on home computers, cell phones, PDAs, thumb drives
  • Prosecute and defend temporary restraining order (“TRO”) and injunctive relief actions in Federal and State court, arbitration forums

Get in Touch with Our Team Today



Legal Services