Securities attorneys for Regulatory Matters

 The securities attorneys at Eccleston Law can defend financial advisors against inquiries, investigations, and disciplinary actions initiated by FINRA, SEC, state securities and insurance regulators, and other professional organizations such as the Certified Financial Planner (CFP) Board of Standards. Our team of securities attorneys at Eccleston Law have experience representing financial advisors before regulatory bodies such as the FINRA, SEC, and state securities regulators in New York, Chicago, Florida, and several other states nationwide. 

Regulatory Legal Defense Services

The securities attorneys at Eccleston Law offer regulatory legal defense services including:

Represent investment advisers during SEC and state regulatory examinations and assist in drafting responses to the SEC challenging alleged examination deficiencies.
Defend against CFP Board inquiries and disciplinary actions.
Assist in drafting responses to the SEC challenging alleged examination deficiencies.
Provide FINRA license suspension hearing defense and post-arbitration award proceedings and appeals.
Provide an annual review (audit) of policies and procedures.

The securities attorneys 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. If you need a securities attorney for SEC & FINRA legal matters, contact Eccleston Law to schedule a telephone conference.

PROPRIETARY PRODUCT CONCERNS

 

 

 

TESTIMONIALS

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I cannot thank you enough for your efforts. You have proven to be a valuable resource

Jim T.

LATEST NEWS AND ARTICLES

October 2, 2024
SEC Charges Two South Florida Men for Defrauding Venezuelan-American Investors in $5 Million Scheme

The Securities and Exchange Commission (SEC) has filed a complaint against two South Florida men, Francisco Javier Malave Hernandez and Ricardo Javier Guerra Farias, for orchestrating a multi-million dollar investment fraud that targeted members of the Venezuelan-American community.

October 1, 2024
California Advisor Suspended and Fined for Churning Client Accounts

A veteran advisor in Santa Maria, California, Stewart "Paxton" Ginn, has been suspended for 18 months and fined $50,000 by FINRA, according to AdvisorHub

September 30, 2024
Bank of America and Merrill Lynch Settle with FINRA for Supervisory Failures

Bank of America and its subsidiary, Merrill Lynch, have agreed to a $3 million fine and censure as part of a settlement with FINRA over long-term supervisory failures.

TESTIMONIALS

Previous
Next

I cannot thank you enough for your efforts. You have proven to be a valuable resource

Jim T.

LATEST NEWS AND ARTICLES

October 2, 2024
SEC Charges Two South Florida Men for Defrauding Venezuelan-American Investors in $5 Million Scheme

The Securities and Exchange Commission (SEC) has filed a complaint against two South Florida men, Francisco Javier Malave Hernandez and Ricardo Javier Guerra Farias, for orchestrating a multi-million dollar investment fraud that targeted members of the Venezuelan-American community.

October 1, 2024
California Advisor Suspended and Fined for Churning Client Accounts

A veteran advisor in Santa Maria, California, Stewart "Paxton" Ginn, has been suspended for 18 months and fined $50,000 by FINRA, according to AdvisorHub

September 30, 2024
Bank of America and Merrill Lynch Settle with FINRA for Supervisory Failures

Bank of America and its subsidiary, Merrill Lynch, have agreed to a $3 million fine and censure as part of a settlement with FINRA over long-term supervisory failures.