Christopher J. Moyen is an accomplished securities regulatory attorney and of counsel to Eccleston Law. Mr. Moyen received a B.S. cum laude from Oral Roberts University in 1990 and a J.D. cum laude from the University of Georgia School of Law in 1996 where he received the Corpus Juris Secundum Award for Scholastic Excellence in Property Law. He is admitted to practice in Illinois and Georgia.
When working with clients of Eccleston Law, Mr. Moyen draws from his experience as a lead Enforcement Attorney for the Secretary of State of Georgia in the Securities and Business Regulation Division where he reviewed and evaluated formal investigative cases to identify violations of securities laws in conjunction with the SEC, NASD, NYSE and other regulatory agencies. As lead Enforcement Attorney, he investigated the activities of a national broker-dealer that resulted in the largest securities settlement award in Georgia history.
At Eccleston Law, Mr. Moyen now helps advisers stay clear of trouble, or defends them when they are in trouble, with securities regulators nationwide. His experience includes:
Assisting investment advisers draft Form ADV language
Drafting policies and procedures
Reviewing marketing materials
Assisting advisers with SEC and state regulatory audits
Responding to SEC deficiency letters, which defend advisers with minor rules infractions to defending advisers accused of the most egregious acts for which the regulators seek to bar that adviser from the securities industry.
Eccleston Law is proud to have Mr. Moyen as an experienced and knowledgeable member of our team of attorneys. His 14-year legal career has given him considerable experience in other areas as well. Having passed the Certified Public Accountant (CPA) examination, Mr. Moyen capably has conducted financial due diligence and has performed audits. He has had broad experience in complex commercial and class action litigation as well as securities arbitration and litigation.
When Mr. Moyen isn't busy at Eccleston Law, he frequently counsels others on investment adviser compliance concerns. For example, he has presented a webinar and wrote an article on The Top 10 Current Compliance Issues for Investment Advisers based on his experiences.