Karen Hendricks
ATTORNEY AT LAW
Miami
305.789.9281
khendricks@fowler-white.com
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Karen Hendricks focuses her practice on representing broker-dealers, registered investment advisory firms and investment advisors in FINRA, SEC, state court and arbitration proceedings. She defends clients against the wide range of securities-related matters, including disputes with customers and other brokerage firms. Karen also handles employee disputes, and she helps firms manage their response to resignations of registered representatives to competitor firms, including litigation to enforce non-solicitation, retirement and joint production agreements.
Karen’s 15 years of experience in the financial services industry has given her extensive supervisory, regulatory, compliance and litigation skills. In her former position as Divisional Legal Officer with Smith Barney, Karen provided legal guidance to directors and branch managers at over 100 locations, conducted internal investigations and counseled clients regarding such complex and pertinent issues as compliance, unauthorized trading and fiduciary duty.
Published Works
Co-author, “Representing Both Firm and Broker in Securities Arbitration – The Importance of Informed Consent,” Securities Arbitration: Simplifying Complexity, Practicing Law Institute, 2003