Securities Attorneys For CFA and CIMA Matters

The securities attorneys at Eccleston Law represent advisors and analysts in investigations, complaints, and other disciplinary actions initiated by the CFA Institute and CIMA (now known as the Investments and Wealth Institute). Financial advisors and analysts with the CFA or CIMA (CPWA or RMA) designation must follow certain codes of conduct.

Failure to follow such codes of conduct may result in an investigation, disciplinary action and resulting private censure, public letter of admonition, suspension of the right to use the certification or even permanent revocation of the certification.

 

NOTICE OF INVESTIGATION AND POSSIBLE DISCIPLINARY HEARING

Investigations should not be taken lightly.  When a financial advisor or analyst receives an inquiry of any kind, legal counsel is highly recommended to consult and/or be in the forefront of communicating with and dealing with the investigator in charge.

In many cases, a disciplinary complaint is filed. There are strict rules and procedures to follow in the disciplinary process.  An attorney strongly is recommended at this stage of the disciplinary process. 

EXPERIENCED SECURITIES ATTORNEYS FOR CFA AND CIMA INVESTIGATIONS AND DISCIPLINARY MATTERS

If you have received a notice of investigation or complaint, our experienced securities attorneys can provide unparalleled guidance to you in all aspects of the disciplinary proceedings and help maximize your chances of retaining the right to use the hard-earned and valuable marks by:

Evaluating
Evaluating and developing your factual defenses and analyzing rules and prior case histories to develop legal defenses.
Responses
Drafting written responses to investigation requests and disciplinary complaints, and proposing offers of settlement to avoid costly fees.
Consulting
Consulting and filing petitions to reinstate revoked certifications as needed.
Defending
Appearing at the disciplinary hearing to defend you and put on your case.



 

 

 

TESTIMONIALS

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I just wanted to say thanks again for preparing and executing my case in such a professional manner. It was a pleasure to watch two professionals take such pride in their work, as well as becoming personally in tune with your client (Me). I would personally recommend you and your firm to anyone.

John O.

LATEST NEWS AND ARTICLES

April 29, 2025
Merrill Lynch Fires Veteran Advisor for Ignoring Mandated Commission Discounts

Merrill Lynch has terminated Daniel G. Diaz, a 37-year industry veteran, for refusing to apply commission discounts to certain client accounts as instructed by management, according to his Central Registration Depository (CRD) record.

April 28, 2025
Former Morgan Stanley Advisor Barred After Fraudulent Check Allegations

Roger A. Gallagher has accepted an industry bar from FINRA rather than cooperate with a regulatory investigation. According to a FINRA Acceptance, Waiver, and Consent letter (“AWC”).

April 25, 2025
Rosedale Advisory Firm Fined for Role in NCAA Player Referral Bribery Scheme

The Securities and Exchange Commission (SEC) has finalized a cease-and-desist proceeding against Rosedale, a former SEC-registered investment adviser, for violations of the Investment Advisers Act of 1940.

TESTIMONIALS

Previous
Next

I want to thank you for your excellent professional representation. It was greatly appreciated.

Michael M.

LATEST NEWS AND ARTICLES

April 29, 2025
Merrill Lynch Fires Veteran Advisor for Ignoring Mandated Commission Discounts

Merrill Lynch has terminated Daniel G. Diaz, a 37-year industry veteran, for refusing to apply commission discounts to certain client accounts as instructed by management, according to his Central Registration Depository (CRD) record.

April 28, 2025
Former Morgan Stanley Advisor Barred After Fraudulent Check Allegations

Roger A. Gallagher has accepted an industry bar from FINRA rather than cooperate with a regulatory investigation. According to a FINRA Acceptance, Waiver, and Consent letter (“AWC”).

April 25, 2025
Rosedale Advisory Firm Fined for Role in NCAA Player Referral Bribery Scheme

The Securities and Exchange Commission (SEC) has finalized a cease-and-desist proceeding against Rosedale, a former SEC-registered investment adviser, for violations of the Investment Advisers Act of 1940.