Compliance Protection for Top-Tier Investment Advisers

 Eccleston Law LLC is pleased to announce new compliance protection services for investment advisers with top-tier advisory practices who require more than cookie-cutter compliance programs, and who have the most to lose when something goes wrong or slips through the cracks!

High net worth advisers have more to lose, and thus more to protect. Only an attorney can render services with the full protection of the “attorney client privilege”, allowing us to candidly discuss the unique circumstances and the nuances, and protect our attorney “work product” from the regulators.

 

 

We have and will continue to protect top-tier advisers nationwide

And continue to provide an extra layer of protection to advisers currently working with non-lawyer compliance consultants, including helping advisers:

Review and consult regarding ADV filings in more complicated arrangements and situations;
Customize the Compliance Manual to fit the adviser's practice and to allocate responsibilities between the adviser and various other third-party service providers;
Create more than a Buy-Sell Agreement / Business Continuity Plan, but instead develop a Succession Plan that makes sense for both the adviser and his/her high net worth clients;
Conduct a thorough and on-site annual review of the adviser's compliance practices and procedures to protect the adviser's interests (and not just the custodian's interests);
Draft and review employment, confidentiality and non-compete agreements;
Prepare and review marketing and other materials to protect the adviser; and
Actively protect and defend advisers during state and SEC regulatory examinations.

Take advantage of the protection today.

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PROPRIETARY PRODUCT CONCERNS

 

 

 

TESTIMONIALS

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I am so blessed to have you and your dynamic team defending me. Your ethics, forward thinking and strategies are amazing.  You guys are the best group of attorneys in the country that I could hire to handle this complicated case.

Cindy C.

LATEST NEWS AND ARTICLES

September 23, 2022
CFP Board Lifts Interim Suspension of Former UBS Advisor

The Certified Financial Planner Board of Standards (CFP Board) has lifted an interim suspension it had imposed against a former UBS advisor after criminal fraud charges against him were recently dismissed.

September 22, 2022
FINRA Penalizes Baird Over $100 Trading Commissions

The Financial Industry Regulatory Authority (FINRA) has ordered Robert W. Baird & Co. to pay $461,481 plus interest due to allegations that the firm overcharged its clients on thousands of equity transactions for at least one year.

September 21, 2022
FINRA Arbitrators Award Nearly $470,000 To Investors in UBS YES Product

A Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered UBS to pay nearly $470,000 to clients who invested in a complex options strategy, known as the YES or Yield Enhancement Strategy. 

TESTIMONIALS

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Next

I just received this letter from the CFP Board. Thank you, Thank you, THANK YOU!

David Y

LATEST NEWS AND ARTICLES

September 23, 2022
CFP Board Lifts Interim Suspension of Former UBS Advisor

The Certified Financial Planner Board of Standards (CFP Board) has lifted an interim suspension it had imposed against a former UBS advisor after criminal fraud charges against him were recently dismissed.

September 22, 2022
FINRA Penalizes Baird Over $100 Trading Commissions

The Financial Industry Regulatory Authority (FINRA) has ordered Robert W. Baird & Co. to pay $461,481 plus interest due to allegations that the firm overcharged its clients on thousands of equity transactions for at least one year.

September 21, 2022
FINRA Arbitrators Award Nearly $470,000 To Investors in UBS YES Product

A Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered UBS to pay nearly $470,000 to clients who invested in a complex options strategy, known as the YES or Yield Enhancement Strategy.