Focus Point Solutions RIA Solutions

Our Strategic Alliances

Compliance

Carr Butterfield logo

Carr Butterfield, LLC is committed to ensuring the future success of the independent investment advisors and investment professionals we serve. Our law firm specializes in legal and compliance issues facing investment advisors, we provide our clients knowledgeable, personalized and proactive services.

We currently serve over 200 investment advisory firms ranging from large SEC based investment advisory firms to state—based solo operations. Unlike many law firms which have little relevant experience, we specialize in a broad range of compliance, litigation defense and regulatory issues facing today's registered investment advisors and financial professionals.

You will discover our services differ greatly from the large impersonal compliance consulting companies which rarely provide services catered to your particular needs. Instead of your main contact being non—attorney staff persons, at Carr Butterfield, LLC you work directly with attorneys who have years of experience with RIA regulatory compliance issues.

Let us assist you with your specialized needs and help ensure your success. Learn more about our attorney backgrounds below, or visit us at www.carrbutterfield.com.


John T. Carr

John T. Carr

John T. Carr provides legal representation of financial services professionals to limit, defend and/or deflect liability in regulatory investigations, enforcement actions, arbitrations and court cases pending before Oregon Circuit Courts and the United States District Court for the District of Oregon.

He is experienced in defending clients before federal and professional regulatory agencies across the U.S. and the Pacific Northwest, including but not limited to:

  • U.S. Securities and Exchange Commission ("SEC")
  • Financial Industry Regulatory Authority ("FINRA")
  • Washington Department of Financial Institutions
  • Oregon Department of Finance and Corporate Securities
  • Oregon Insurance Division • Washington State Insurance Commissioner
  • Idaho Department of Finance, Securities Bureau
  • Certified Financial Planner ("CFP") Board of Standards, Inc.
  • U.S. Department of Labor

Insurance defense claims involving errors and omissions ("E&O") and commercial general liability ("CGL") policies for insureds within the financial services industry are an area of focus. Mr. Carr's additional practice areas include licensing, mergers and acquisitions, professional discipline, regulatory violations, audit compliance, entity formation, and corporate re-structuring. He is a former intern to the late U.S. Senator Mark O. Hatfield.


Lisanne Butterfield

Lisanne Butterfield

Lisanne M. Butterfield developed a litigation practice early in her career when she served as a litigation paralegal, and later a summer associate, in the securities litigation department of a large, national law firm based in New York City. While in law school, Ms. Butterfield served as a judicial law clerk to Multnomah County Circuit Court Judge Stephen Herrell.

She later joined a Pacific Northwest insurance defense firm defending policy holders in claims based on professional and municipal liability.

She also worked in the Guam office of a large Honolulu-based firm, which predominantly served Fortune 500 companies and international financial institutions. While in Guam, Ms. Butterfield served as lead trial attorney for commercial litigation, employment law, and insurance defense matters. Her practice included complex litigation, consumer fraud, and maritime/admiralty matters

Ms. Butterfield has represented multinational corporations and small, emerging entities in FINRA, private arbitration proceedings, and state and federal courts throughout the United States. These matters often include the litigation of the defense and indemnity obligations of insurers and business management.

In recent years, the core of Ms. Butterfield's practice has been complex business litigation matters, legal ethics, and exit strategy advice for financial services professionals, departing employees, and business owners.

E&O Insurance


Golsan Scruggs logo RIASure

REGISTERED INVESTMENT ADVISOR PROFESSIONAL LIABILITY INSURANCE

Currently serving over 700 RIA firms, Golsan Scruggs has developed an RIA risk assessment process called RIASURE. This process helps us understand your practice and analyze coverage issues so that a proper solution is structured to mitigate the exposures of your practice. At Golsan Scruggs, we believe it is incumbent upon us to earn the right to be appointed as your insurance and risk-management agent. Our RIASURE process exists to serve that purpose.

To obtain your complimentary RIASURE Review, please complete the form here or contact us at (800)273-5883.

Custodians

Fidelity Investments logo
Charles Schwab
TD Ameritrade Institutional

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