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Law Office of Neil D. Petkovic, LLC represents clients located throughout the State of Ohio including those residing in the communities of Akron,
Cuyahoga Falls, Stow, Hudson, Barberton, Canton, Massillon, Alliance, Cleveland, Parma, Rocky River, Westlake, Shaker Heights, Youngstown,
Warren, Boardman, Poland, Canfield, Medina, Brunswick, Lorain, Sandusky, Mentor, Toledo, Dayton, Columbus, Cincinnatti, Summit County, Stark
County, Portage County, Cuyahoga County, Medina County, Lorain County, Mahoning County, Trumbull County, Huron County, Geauga County,
and Lake County.
The Law Office of Neil D. Petkovic, LLC represents, defends and counsels brokers and financial advisers in
regulatory, compliance, disciplinary and employment matters in arbitration and litigation, and before regulatory
bodies such as the SEC, FINRA and state securities regulators.
Typical representations include, but are not limited to:
• Defending brokers in forgivable loan collection arbitrations.
• Counseling brokers and financial advisors on matters pertaining to the successful transition of their practice from
firm to firm, including assisting in setting up their business if transitioning from a wirehouse to an independent
firm, and negotiating their agreements with their new firm.
• Represent brokers and financial advisors in employment and business disputes that arise in connection with
their work in the financial services industry, including issues pertaining to partnership agreements between
brokers and financial advisor groups.
• Represent brokers and financial advisors in licensing and disciplinary matters before regulatory bodies such as
the Securities & Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA) and State
Securities Regulators, such as the Ohio Division of Securities.