
FINRA has fined Anthony J. Seifert, a former Merrill Lynch advisor based in Mount Pleasant, South Carolina, $5,000 and suspended him for 20 days.
CFP may conduct investigations for financial advisors who potentially violate CFP Rules, which can be triggered by a number of events, such as: customer arbitrations, criminal matters, regulatory actions by the SEC, CFTC, FINRA and state regulators, bankruptcies, employment terminations, reports from other financial advisors with CFP designation and even anonymous tips.
Sanctions for violations of CFP rules may result in a private censure, a public letter of admonition, suspension of the right to use the marks for up to five years or even permanent revocation of CFP designation.
The investigation process begins with a CFP Notice of Investigation sent to the CFP Certificant. This step requires a keen understanding of the allegations and potential sanctions that can result. The time allowed for filing written responses and Answers is extremely limited!
In addition to the opportunity to file a written response to the allegations, after reviewing the response, the board may decide to issue a CFP Complaint against the financial advisor, who must then file an Answer or suffer from an Administrative Order of Revocation.
Each time you renew your CFP certification, you must disclose whether you have ever been involved in any criminal, civil, self-regulatory organization or governmental agency inquiry, investigation or proceeding. Events that are otherwise not reportable to your Broker-Dealer, Employer or Regulatory Agency, may, in fact, be reportable to the board. If you have questions or concerns regarding your reporting obligations or compliance with CFP Rules, contact the securities attorneys at Eccleston Law for a free consultation to discuss your CFP Board matter.
If you have received a CFP notice of investigation, a CFP complaint, or a notice of presumptive bar as a CFP candidate, our experienced securities attorneys can provide unparalleled guidance to you in all aspects of CFP disciplinary proceedings and help maximize your chances of retaining the right to use the hard-earned and valuable CFP marks by:
As skilled and experienced securities attorneys, we can also provide valuable guidance on the underlying matter that triggered the CFP investigation, whether it's a customer complaint, an investor arbitration or lawsuit, an employment termination, etc.
It was really fun seeing you fight for us. You have an amazing way of thinking out of the box.
If you find yourself in trouble with the regulators, call Eccleston Law, you won't regret it.
Thank you for your professional assistance with this matter. You are very good at what you do.
I want to extend a tremendous thank you for your dedication, professionalism, hard work and patient demeanor through this challenging time. It was enjoyable interacting with everyone on your team, this certainly helped while dealing with the situation and working towards resolution.
I am so glad I found you! Wow! I appreciate your help, concern and guidance.
Hiring Eccleston Law has been one of the best career decisions I have made and this "investment" to maintain my sterling regulatory record has been returned many times over. If you are in a situation where you've been unfairly accused, don't hesitate to talk with Eccleston Law. They are the best.
I have the best legal firm in the country to defend me. Awesome job!
You were most helpful with my FINRA deposition. You are a good lawyer and a good person.
I am grateful to have found an outstanding law firm that specializes in securities matters. My lawyers were extremely knowledgeable, diligent, and are skilled litigators. No stone was left upturned. As a result of their experience and tenacity, the arbitration proceeding was dismissed in my favor.
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.
Thank You from the bottom of our hearts for all you have done for us. When we realized this was a very bad investment - we did not know where to turn for help. Then we received your name. When we called you - you were so kind to us and then agreed to help us. For
If you are being bothered by the Regulators, call Eccleston Law, you won't regret it.
Fantastic news!!!! Your professionalism, support and expertise were greatly appreciated. You made a difficult situation much more bearable.
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.
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.
The work that you and your team have performed on my behalf is exemplary.
We just wanted to say thanks for your work in helping us get back some of the money we lost. We are not by any means rich, but we have saved some money and we have done so through a tight-fisted approach to most everything we do. So losing a significant chunk of money hurt…especially at a time when everyone else was growing their accounts. We really appreciate the work you did.
Thank you so very much for your guidance, patience, and expertise.
I want to thank you for your excellent professional representation. It was greatly appreciated.
I learned two important things working with Eccleston Law. First, I made a friend and ally with Jim and Steph for life. Secondly, and this is a crucial life lesson - if you need counsel, then seek out the very best. Jim was referred to me by a most trusted source. I've never had to hire an attorney for anything. Now, I know the value of hiring an important partner. Meticulous, thorough and detailed in preparation is the best way to describe Jim. Brilliant too, I might add. Bottom line, I would highly highly recommend Jim and Stephany for your legal needs. One of the best life decisions I've ever made.
Jim, Stephany and the whole team were a God send. We felt like we were put into a situation where we had no advocate. Jim’s team came in with a strong, well laid out strategy on how to get our story heard. Where our outside compliance company had no ability to help, our Broker Dealer was impenitent, and the regulators were aggressive pursuing vague rules, Jim came like a barricade against an assault we did not understand. Though you pay member dues to be affiliated with FINRA and a B/D, you have no voice. The only thing that is truly heard in this un-level playing field is a bulldog’s bark like Jim’s. I would encourage anyone to call Jim and his team to find a real ally in the tough and complicated world of securities regulation. They are truly the best.
As a financial advisor with over 20 years of experience, I feel fortunate to call Jim my attorney and friend. He is a fantastic lawyer and trusted advisor. He is skilled in the matters necessary to do the job well. He uses his thoughtful approach and calm demeanor to achieve a positive outcome for the client. If you want to feel confident that nothing will be missed and that you will be represented in a highly professional manner, call Jim Eccleston.
You guys are good!
I just received this letter from the CFP Board. Thank you, Thank you, THANK YOU!
This was the best of all possible outcomes and I cannot thank you and the team enough.
You are the best attorneys in the country.
I cannot thank you enough for your efforts. You have proven to be a valuable resource
FINRA has fined Anthony J. Seifert, a former Merrill Lynch advisor based in Mount Pleasant, South Carolina, $5,000 and suspended him for 20 days.
A federal court ruling against American Airlines has brought attention to the role of environmental, social, and governance (ESG) factors in managing retirement plans.
The Securities and Exchange Commission (SEC) has charged LPL Financial LLC, a broker-dealer and investment adviser, with multiple violations of anti-money laundering (AML) regulations.
You guys are good!
I cannot thank you enough for your efforts. You have proven to be a valuable resource
Thank You from the bottom of our hearts for all you have done for us. When we realized this was a very bad investment - we did not know where to turn for help. Then we received your name. When we called you - you were so kind to us and then agreed to help us. For
If you are being bothered by the Regulators, call Eccleston Law, you won't regret it.
You were most helpful with my FINRA deposition. You are a good lawyer and a good person.
I want to extend a tremendous thank you for your dedication, professionalism, hard work and patient demeanor through this challenging time. It was enjoyable interacting with everyone on your team, this certainly helped while dealing with the situation and working towards resolution.
The work that you and your team have performed on my behalf is exemplary.
Jim, Stephany and the whole team were a God send. We felt like we were put into a situation where we had no advocate. Jim’s team came in with a strong, well laid out strategy on how to get our story heard. Where our outside compliance company had no ability to help, our Broker Dealer was impenitent, and the regulators were aggressive pursuing vague rules, Jim came like a barricade against an assault we did not understand. Though you pay member dues to be affiliated with FINRA and a B/D, you have no voice. The only thing that is truly heard in this un-level playing field is a bulldog’s bark like Jim’s. I would encourage anyone to call Jim and his team to find a real ally in the tough and complicated world of securities regulation. They are truly the best.
Hiring Eccleston Law has been one of the best career decisions I have made and this "investment" to maintain my sterling regulatory record has been returned many times over. If you are in a situation where you've been unfairly accused, don't hesitate to talk with Eccleston Law. They are the best.
I am grateful to have found an outstanding law firm that specializes in securities matters. My lawyers were extremely knowledgeable, diligent, and are skilled litigators. No stone was left upturned. As a result of their experience and tenacity, the arbitration proceeding was dismissed in my favor.
I just received this letter from the CFP Board. Thank you, Thank you, THANK YOU!
This was the best of all possible outcomes and I cannot thank you and the team enough.
Fantastic news!!!! Your professionalism, support and expertise were greatly appreciated. You made a difficult situation much more bearable.
As a financial advisor with over 20 years of experience, I feel fortunate to call Jim my attorney and friend. He is a fantastic lawyer and trusted advisor. He is skilled in the matters necessary to do the job well. He uses his thoughtful approach and calm demeanor to achieve a positive outcome for the client. If you want to feel confident that nothing will be missed and that you will be represented in a highly professional manner, call Jim Eccleston.
I want to thank you for your excellent professional representation. It was greatly appreciated.
I am so glad I found you! Wow! I appreciate your help, concern and guidance.
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.
I have the best legal firm in the country to defend me. Awesome job!
I learned two important things working with Eccleston Law. First, I made a friend and ally with Jim and Steph for life. Secondly, and this is a crucial life lesson - if you need counsel, then seek out the very best. Jim was referred to me by a most trusted source. I've never had to hire an attorney for anything. Now, I know the value of hiring an important partner. Meticulous, thorough and detailed in preparation is the best way to describe Jim. Brilliant too, I might add. Bottom line, I would highly highly recommend Jim and Stephany for your legal needs. One of the best life decisions I've ever made.
You are the best attorneys in the country.
Thank you so very much for your guidance, patience, and expertise.
We just wanted to say thanks for your work in helping us get back some of the money we lost. We are not by any means rich, but we have saved some money and we have done so through a tight-fisted approach to most everything we do. So losing a significant chunk of money hurt…especially at a time when everyone else was growing their accounts. We really appreciate the work you did.
Thank you for your professional assistance with this matter. You are very good at what you do.
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.
If you find yourself in trouble with the regulators, call Eccleston Law, you won't regret it.
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.
It was really fun seeing you fight for us. You have an amazing way of thinking out of the box.
FINRA has fined Anthony J. Seifert, a former Merrill Lynch advisor based in Mount Pleasant, South Carolina, $5,000 and suspended him for 20 days.
A federal court ruling against American Airlines has brought attention to the role of environmental, social, and governance (ESG) factors in managing retirement plans.
The Securities and Exchange Commission (SEC) has charged LPL Financial LLC, a broker-dealer and investment adviser, with multiple violations of anti-money laundering (AML) regulations.