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.

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TESTIMONIALS

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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.

Michael E.

LATEST NEWS AND ARTICLES

September 23, 2022
CFP Board Lifts Interim Suspension of Former UBS Advisor

The Certified Financial Planner Board of Standards (CFP Board) has lifted an interim suspension it had imposed against a former UBS advisor after criminal fraud charges against him were recently dismissed.

September 22, 2022
FINRA Penalizes Baird Over $100 Trading Commissions

The Financial Industry Regulatory Authority (FINRA) has ordered Robert W. Baird & Co. to pay $461,481 plus interest due to allegations that the firm overcharged its clients on thousands of equity transactions for at least one year.

September 21, 2022
FINRA Arbitrators Award Nearly $470,000 To Investors in UBS YES Product

A Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered UBS to pay nearly $470,000 to clients who invested in a complex options strategy, known as the YES or Yield Enhancement Strategy. 

TESTIMONIALS

Previous
Next

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

Michael M.

LATEST NEWS AND ARTICLES

September 23, 2022
CFP Board Lifts Interim Suspension of Former UBS Advisor

The Certified Financial Planner Board of Standards (CFP Board) has lifted an interim suspension it had imposed against a former UBS advisor after criminal fraud charges against him were recently dismissed.

September 22, 2022
FINRA Penalizes Baird Over $100 Trading Commissions

The Financial Industry Regulatory Authority (FINRA) has ordered Robert W. Baird & Co. to pay $461,481 plus interest due to allegations that the firm overcharged its clients on thousands of equity transactions for at least one year.

September 21, 2022
FINRA Arbitrators Award Nearly $470,000 To Investors in UBS YES Product

A Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered UBS to pay nearly $470,000 to clients who invested in a complex options strategy, known as the YES or Yield Enhancement Strategy.