LOUIS D. TAMBARO’s practice is unique in that it is concentrated on the representation of broker-dealers, financial advisers and planners, registered investment advisers, and wealth management firms in transactional, litigation, and regulatory matters.
He couples his extensive experience in private legal practice with his entrepreneurial experience as a financial services professional and co-manager of a recruiting branch office of a large independent broker-dealer. When Louis works with his advisor clients, they can be assured that he knows their business, because he has shared their experience “on the ground” and he is intimately familiar with the myriad issues they face each and every day.
In the realm of business litigation, which is also within his wheelhouse, Louis’ focus is on securities and franchise business disputes. He has represented many business owners in the broker-dealer and franchise space – as well as in a plethora of other fields – often in connection with contractual disputes and regulatory issues.
He has represented hundreds of clients in trials and hearings in New Jersey state court, federal court, and alternative dispute resolution forums like FINRA (The Financial Industry Regulatory Authority). For example, Louis assists those in need of cleansing their broker dealer record by way of FINRA expungement actions.
In addition to his wide-ranging litigation practice, Louis handles transactional matters pertaining to the purchase and sale of businesses, commercial real estate, franchise locations, and financial advisory practices.
As President of Tambaro Financial Services, LLC, Louis also provides high-level consulting services to numerous financial advisers, groups of advisers, and investment adviser representatives, as well as small regional broker-dealers, with respect to various types of compliance concerns. He provides guidance to advisers who seek to grow their practices, acquire new books of business, prepare succession planning strategies, find strategic partners, and otherwise help them navigate a drastically changing regulatory environment within the securities industry.