FINRA Proposes to Crack Down on Firm Misconduct
The Financial Industry Regulatory Authority (FINRA) recently announced a proposal to impose restrictions on firms with significant misconduct histories.
Providing Zealous Advocacy
For Your Financial Future
Since 2018
Request a Free Consultation
Investor Representation Attorney in
Dallas, Texas Serving Nationwide
Mark S. Simms
President & Attorney at Law
I am an attorney and President of Simms Law, P.C. My focus practice areas include representation for investors and financial advisors as well as business law and civil litigation. I received my Juris Doctorate from the University of Miami School of Law with cum laude honors. Immediately after law school, I jumped into the federal court system and began assisting with the infamous Bernie Madoff Ponzi scheme. I transitioned into working with brokerage firms but realized I valued assisting the clients that were being taken advantage of by these firms and decided to represent them instead.
More About MeWhy You Should Work with Me
Let Me Take Charge
Experience On Both Sides of the Aisle
When I started practicing law, I represented the brokerage firms against the customers. I opened my own practice and began to advocate for the customers who were being ripped off by big businesses. With my experience, I can anticipate what tactics the opposing side may use and can diligently prepare for it.
Personal Engagement
Being a solo practitioner, I am able to give my clients my undivided attention. I will listen to your troubles and enjoy getting to know whoever walks through my doors. I aggressively fight for my clients and will take charge when combatting the opposing counsel to help you pursue the best possible outcome for your case.
Areas of Practice
Blog
Financial Advisors: Here’s How to Expunge Customer Dispute Information
When a customer lodges an official complaint against a financial advisor, this information, known as customer dispute information, is logged in the Financial Industry Regulatory Authority’s (FINRA) Central Registration Depository (CRD) record.
Fighting for Hardworking People Nationwide
Although my office is in Fort Lauderdale, Florida, I am passionate about serving clients throughout the United States, including New York, Los Angeles, Chicago, Miami, Dallas, and other metropolitan cities. I do not take the responsibility of handling your finances lightly. I am focused on achieving the best outcome for you by diligently and aggressively advocating for you in arbitration. I understand the confusion that you may be facing and am here to guide you through it.
No one should have to stress over people they trust misusing their money. I represent clients in many areas of business law from fraud to disputes. I am driven by your needs and strive to take the stress off of your shoulders. If you are in need of a seasoned business attorney for investment or financial representation in the Fort Lauderdale area, or anywhere else across the U.S., contact my firm, Simms Law, P.C. to schedule a free consultation.