A member of Shumaker’s Litigation & Disputes Service Line, Charles represents large financial institutions and high-net-worth individuals in securities litigation, regulatory investigations, and violations of contractual covenants. He primarily focuses on restrictive covenants, trade secrets, mergers and acquisitions, commercial litigation and arbitration. He regularly counsels financial advisors through Financial Industry Regulatory Authority (FINRA) and other regulatory investigations.
Additionally, Charles’ practice focuses on:
- Brokerage industry transitions, promissory notes, and deferred compensation disputes
- Defending TRO litigation
- Registered Investment Advisory (RIA) development and planning
- Drafting and Negotiating Asset Purchase Agreements, Financial Advisor Employment Agreements, and Independent Contractor Agreements
- Negotiating financial advisor contracts with top firms
- Representing financial advisors in numerous regulatory matters before the Financial Industry Regulatory Authority (FINRA)
- Form U-4 and U-5 issues
- Navigating Heightened Supervision
- Corporate raiding
A native of Florida, Charles was drawn to the legal profession since childhood. He received his undergraduate degree at Boston College and his J.D. from the University of Florida Levin College of Law, where he served as the executive forum editor of the Florida Law Review.
Education
J.D., with honors, University of Florida Levin College of Law, 2015
B.A., Economics and Communication, Boston College, 2010
Honors
- Best Lawyers: Ones to Watch, 2022-2024
- SRQ Magazine: 2020 Elite Top Attorneys, Rising Star
Representative Matters
- Shumaker Defeats Merrill’s Attempt to Block Former Advisors’ $129 Billion Business
- 10.03.2025 Shumaker – Shumaker Defeats Merrill’s Attempt to Block Former Advisors’ $129 Billion Business
- 09.26.2025 AdvisorHub – $129-Bln Merrill Breakaways Fire Back in Raiding Lawsuit
- Shumaker Wins Defamation Case for Financial Advisor Against Merrill Lynch
- 05.02.2018 AdvisorHub – Merrill to Pay $750,000 for Defaming Broker by Insinuating Insider Trading
- 05.02.2018 Citywire – Merrill to pay ex-offshore broker $750,000 in defamation case
- 05.02.2018 Financial Advisor IQ – Merrill Lynch to Fork Over Big Payout to Fired FA
- Shumaker Victory Recognized as One of Largest FINRA Awards Brokers Won from Their Firms
- 04.12.2018 InvestmentNews – Biggest Arb Awards Brokers Won from Their Firms
- Shumaker Attorneys Defeat Merrill Lynch's Attempt to Keep Litigants Out of FINRA Arbitration
- 04.03.2018 AdvisorHub – Merrill Retreats from Battle to Fight Former Executives in Court
- 04.03.2018 wealthmanagement.com – Merrill Lynch Gives Up Fight Against Former Advisors’ Rights to Arbitrate
- 02.08.2018 AdvisorHub – Former Merrill Exec Wins Skirmish Over Losses in His Stock Plan
- Shumaker Attorneys Obtain TRO on Behalf of Morgan Stanley
- 02.06.2018 AdvisorHub – Judge Hands Morgan Stanley Another TRO Win, Hands Off to FINRA
- 01.31.2018 AdvisorHub – Whose Client Is It? Morgan Stanley Argues Both Sides, Former Broker Claims
- 01.24.2018 AdvisorHub – Morgan Stanley Wins Another Restraining Order Against Former Broker
- 01.23.2018 AdvisorHub – Morgan Stanley Disses Former Broker’s Career in New TRO Suit