State Licensing and Registration

In addition to defending brokers and financial advisors in a vast array of administrative actions before FINRA, the SEC, and self-regulatory agencies and professional organizations such as the CFP Board, the securities lawyers at Eccleston Law routinely assist brokers and financial advisors in understanding and navigating state securities regulatory, licensing, and registration matters as well as state administrative proceedings, nationwide.

With two offices in Florida, alone, our firm has particularly valued experience in defending brokers and financial advisors with investigations and disciplinary actions undertaken by the Florida Office of Financial Regulation (“FL OFR”).

Whether you are applying for registration, amending Form ADV disclosures, or have received a request for documents and information following an examination, our securities lawyers may be able to help prevent an inquiry from evolving into a formal investigation or further disciplinary action.

Experienced Securities Lawyers

In the event your matter has already escalated to formal charges or an offer of a proposed Stipulation and Consent Agreement, we can likely lower your costs and maximize the potential for a positive outcome and you can count on the securities lawyers at Eccleston Law to vigorously and effectively represent you in many common types of state regulatory actions by:

  • Consulting regarding compliance with State Regulatory requirements, Statutes, and Codes;
  • Evaluating and developing factual defenses in State regulatory actions;
  • Drafting responses, answers, and statements of mitigating circumstances;
  • Analyzing the State Administrative Code Sanction Guidelines and published decisions to develop legal defenses;
  • Negotiating fines and penalties.

If you have a state licensing or registration matter, or need advice on state or industry rules, Eccleston Law is here to help. Call or email us to set up a free consultation with experienced securities lawyers.