Practice Areas

Broker-Dealers

Primary Contacts:

Doak Foster

P. (501) 688.8841
Little Rock

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Jeffrey H. Thomas

P. (501) 688.8879
Little Rock

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Overview

Mitchell Williams’ Insurance Regulatory team represents broker-dealers, their representatives, and their agents in insurance-related licensing, regulatory compliance investigations and audits.  Some of these broker dealers are affiliates of insurance companies and others are not. Calling on our over three decades of experience serving the insurance industry, we have a thorough understanding of both the broker-dealer and insurance legal and regulatory challenges that often arise in the course of marketing variable and fixed insurance products through broker-dealers.

Our team has worked with broker-dealers, insurance companies and their agents and registered representatives on matters including:

  • Financial Industry Regulatory Authority (FINRA) arbitrations

  • Securities and Exchange Commission (SEC) and FINRA regulatory matters

Additionally, we have experience representing broker-dealers, insurance companies, registered representatives, and agents in formal and informal investigations conducted at the federal and state level.

Broker-Dealers