By engaging our virtual team as an extension of their own staff, advisors can more easily make the move away from a less than satisfactory business model.
As a result, they’re able to work fewer and more quality hours, focusing mainly on financial planning and meeting with clients they truly enjoy—likely the things that drew them to this profession in the first place.
At the same time, advisors are able to maintain successful and profitable businesses. Those who came to us seeking more balance, time, and efficiency find that engaging our virtual support team and services has helped them to achieve those goals. Advisors often become re-energized and excited about their businesses again.
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Investment ManagementExplore Our Investment Management Services
ComplianceExplore Our Compliance Services
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 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 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.