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

David Y

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TESTIMONIALS

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If the regulators are after you, and are trying to make a case against you, and you are going to contest their allegations against you, make sure you have the best securities industry defense lawyers, Eccleston Law Firm. My case was spun into a combination of penalties including fines, cash settlements, CE courses and suspension. They were the best I have seen in action. When all was said and done, they had done their magic, my situation was negotiated and settled with a simple "letter of caution" and a case closed without action. It is the most important legal business decision you will ever make, make it Eccleston Law.

Rick R.

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May 19, 2025
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Investing in private companies is becoming more accessible—but whether that is a good thing remains up for debate.

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A California federal jury has convicted Rowland Marcus Andrade, the founder of AML Bitcoin, on charges of wire fraud and money laundering.

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