Securities Lawyers for Regulatory Matters

The securities lawyers at Eccleston Law can defend financial advisors against inquiries, investigations, and disciplinary actions initiated by FINRA, SEC, state securities and insurance regulators, and other professional organizations such as the Certified Financial Planner (CFP) Board of Standards. Our team of securities lawyers at Eccleston Law have experience representing financial advisors before regulatory bodies such as the FINRA, SEC, and state securities regulators in New York, Chicago, Florida, and several other states nationwide.

The securities lawyers at Eccleston Law offer regulatory legal defense services including:

  • Represent investment advisers during SEC and state regulatory examinations and assist in drafting responses to the SEC challenging alleged examination deficiencies.
  • Defend against CFP Board inquiries and disciplinary actions.
  • Assist in drafting responses to the SEC challenging alleged examination deficiencies.
  • Provide FINRA license suspension hearing defense and post-arbitration award proceedings and appeals.
  • Provide an annual review (audit) of policies and procedures.

The securities lawyers at Eccleston Law also practice a variety of other areas of securities for financial advisors including breakaway broker services, employment matters, strategic consulting and counseling, broker litigation and arbitration, whistleblower actions, and much more. If you need a securities lawyer for SEC & FINRA legal matters, contact Eccleston Law to schedule a telephone conference.