Eccleston Law: For Investors. For Advisors
About
Who We Are
Testimonials
Disclaimers
Attorneys
For Advisors
Broker Transition
Transition Contract Review
Employment Matters
State Registration Problems & Discipline
FINRA Matters
Promissory Note Matters
CFP Board Matters
FINRA Enforcement Matters
State Registration Problems & Discipline
Transition Contract Review
Broker Litigation & Arbitration
Employment Matters
Regulatory Matters
Strategic Consulting
Whistleblower Law
Promissory Note Matters
Compliance Protection
Lawyer Referral Network
Expungement of CRD/BrokerCheck Disclosures
For Investors
Securities Fraud
Breach of Fiduciary Duty
Retirement Planning Negligence
Unauthorized Trading
Lawyer Referral Network
News & Articles
News
Articles
Financial Counsel Blog
Videos
Newsletter Signup
Contact
Site Menu
About
Who We Are
Testimonials
Disclaimers
Attorneys
For Advisors
For Advisors: Overview
Broker Transition
Broker Transition Overview
Transition Contract Review
Employment Matters
State Registration Problems & Discipline
FINRA Matters
Promissory Note Matters
CFP Board Matters
FINRA Enforcement Matters
State Registration Problems & Discipline
Transition Contract Review
Broker Litigation & Arbitration
Employment Matters
Regulatory Matters
Strategic Consulting
Whistleblower Law
Promissory Note Matters
Compliance Protection
Lawyer Referral Network
Expungement of CRD/BrokerCheck Disclosures
For Investors
For Investors: Overview
Securities Fraud
Breach of Fiduciary Duty
Retirement Planning Negligence
Unauthorized Trading
Lawyer Referral Network
News & Articles
News
Articles
Financial Counsel Blog
Videos
Newsletter Signup
Contact

FINRA’s Acceptance, Waiver and Consent Settlement (AWC)-Part 3

Posted on December 7th, 2016 at 9:17 AM
FINRA’s Acceptance, Waiver and Consent Settlement (AWC)-Part 3

From the Desk of Jim Eccleston at Eccleston Law LLC:

This is the third of three posts to discuss FINRA Rule 9216. This post will discuss the “consent” portion of the rule related to regulatory (disciplinary) settlement agreements.

As the term implies, the “consent” portion of the AWC occurs once the financial advisor gives permission to the General Counsel, the National Adjudicatory Council, or any member of the National Adjudicatory Council to impose sanctions after a complaint is filed.

In addition to consenting to the settlement, financial advisors may not make any public statement that denies the findings in his or her AWC or take any action that is inconsistent with any part of the AWC.  

The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities and employment matters. 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. Our attorneys draw on a combined experience of nearly 65 years in delivering the highest quality legal services. If you are in need of legal services, contact us to schedule a one-on-one consultation today.  

 

Related Attorneys: James J. Eccleston

Tags: Eccleston, Eccleston Law, Eccleston Law LLC, James Eccleston, FINRA, AWC, waiver and consent settlement, Rule 9216, financial advisor, General Counsel, National Adjudicatory Council,

Share

Return to Archive

Latest Articles
Large Producers Shift to First Republic
February 20th, 2019 at 4:33 PM
Blockchain and Cryptocurrencies: A Primer for Financial Planners Part Three
February 19th, 2019 at 3:48 PM
Read More »
Latest News
What Advisors, BDs Should Do About Ohio National’s End of Trailing Commissions
November 30th, 2018 at 5:09 PM
Whose clients are they? Edward Jones sues $150M Ameriprise advisors
November 14th, 2018 at 5:10 PM
Read More »
Share

Request a Free Consultation

Attorneys are standing by during regular business hours. Call us now for immediate service, or complete the form below and we will contact you as soon as possible.

Your E-mail Address:
 
Chicago
55 West Monroe St.
Suite 610
Chicago, Illinois 60603
(312) 332-0000
(312) 332-0003
New York City
One Liberty Plaza
165 Broadway, 23rd Floor
New York, New York 10006
(212) 203-9169
(312) 332-0003
Boca Raton
2255 Glades Road
Suite 324A
Boca Raton, Florida 33431
(312) 332-0000
(312) 332-0003
2019 © Eccleston Law, LLC.
All Rights Reserved.
The law is continuously changing. Please do not rely on information found on this site without consulting a lawyer to determine if any recent changes in the law may have an impact.