Recognized in Ones to Watch since 2022 
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.
