Representing Insurance Agents and Financial Advisers

 

Paul L. Vorndran has been a Colorado trial and litigation attorney for more than 26 years. He has extensive experience in the areas of insurance and securities regulation and litigation.

During his six years with the Colorado Attorney General, Paul represented the Colorado Insurance and Securities Commissioners and brought enforcement actions against both promoters and non-securities licensed, independent insurance agents. Now he works the other side, advising and defending individuals and businesses engaged in the investment business, including registered insurance agents, investment advisers, investment adviser representatives, broker-dealers, and securities sales representatives, in both regulatory matters and customer disputes.

Paul defends individuals and entities in investigations and enforcement actions brought by the U.S. Securities and Exchange Commission (SEC), the Colorado Securities and Insurance Commissioners, and the Financial Industry Regulatory Authority (FINRA). He also defends actions brought by investors against licensed and unlicensed sellers of investments.



 
 
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top 10 pressing agent & adviser problems

1. Unregistered alternative investments

2. what to do when you receive a notice

3. Fiduciary rules

4. State suitability issues

5. Contract termination

6. Declinations

7. Client/partner disputes

8. Dealing with carriers that go bust

9. Licensing and contracting

10. Third party marketing firms

 
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in your corner

Defending insurance agents and investment advisers in investigations by insurance and securities regulators, disputes with insurance and investment companies, and private investor suits.

Delivering strategic, cost-effective, and positive outcomes for clients faced with problems large and small.


Let’s start discussing issues important to you.

Reach out for an initial consultation.

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