Our Financial Services Clients: Law Firms

Consulting Services For Your Clients

At Oyster Consulting, we provide consulting services like expert testimony, subject matter expertise and regulatory compliance consulting that law firms and their wealth management clients can rely on. Our industry experts assist with compliance and operations, offering services such as registration, remediation, and expert witness testimony. These services are essential for law firms’ clients who are starting or running an investment advisor or broker-dealer firm. Our consultants are seasoned professionals who have been cross examined, used for expert opinions, testimony and have the industry knowledge that law firms need.

Expert Witness and Independent Consultant

You and clients need regulatory experts that you can depend on. We support you by serving as expert witnesses, independent consultant in response to a regulatory finding, or any compliance needs for your Registered Investment Advisor or Broker Dealer clients. Our consultants possess deep expertise in compliance and operations, making them invaluable in complex wealth management cases or regulatory actions. The diverse backgrounds of Oyster professionals add credibility to their expert opinions, which are highly valued by adjudicators.

Operational and Compliance Efficiency

Oyster Consulting’s multi-disciplined team will assess your clients’ business operations and provide actionable advice to maximize asset value.

We also assist in creating and updating Business Continuity Plans, including succession planning. Having participated in some of the largest mergers and acquisitions in the industry, we know the essentials for a successful transition. Our consultants help create future value through strategic planning, partner identification, and seamless integration of firm cultures and systems.

The Oyster Difference

Oyster’s experts bring decades of experience with FINRA and SEC regulators. Our team comprises former regulators, compliance officers, and C-Suite executives who have navigated numerous regulatory challenges. We leverage this collective knowledge to help your clients achieve effective compliance programs and address exam findings.

Law firms can partner with Oyster Consulting to assist clients in achieving their financial goals. They can provide support with wealth management, brokerage services, and legal matters. Our comprehensive suite of financial services, including wealth management services and investment management, is designed to support your clients every step of the way.