Securities Attorneys for State Licensing and Registration

In addition to defending brokers and financial advisors in a vast array of administrative actions before FINRA, the SEC, and self-regulatory agencies and professional organizations such as the CFP Board, the securities attorneys at Eccleston Law routinely assist brokers and financial advisors in understanding and navigating state securities regulatory, licensing, and registration matters as well as state administrative proceedings, nationwide.

With two offices in Florida, alone, our firm has particularly valued experience in defending brokers and financial advisors with investigations and disciplinary actions undertaken by the Florida Office of Financial Regulation (“FL OFR”).

Whether you are applying for registration, amending Form ADV disclosures, or have received a request for documents and information following an examination, our securities attorneys may be able to help prevent an inquiry from evolving into a formal investigation or further disciplinary action.

 

EXPERIENCED SECURITIES ATTORNEYS

In the event your matter has already escalated to formal charges or an offer of a proposed Stipulation and Consent Agreement, we can likely lower your costs and maximize the potential for a positive outcome and you can count on the securities attorneys at Eccleston Law to vigorously and effectively represent you in many common types of state regulatory actions by:

Consulting regarding compliance with State Regulatory requirements, Statutes, and Codes;
Evaluating and developing factual defenses in State regulatory actions;
Drafting responses, answers, and statements of mitigating circumstances;
Analyzing the State Administrative Code Sanction Guidelines and published decisions to develop legal defenses;
Negotiating fines and penalties.

If you have a state licensing or registration matter or need advice on state or industry rules, Eccleston Law is here to help. Call or email us to set up a free consultation with experienced securities attorneys.

PROPRIETARY PRODUCT CONCERNS

 

 

 

TESTIMONIALS

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You are the best attorneys in the country.

CC

LATEST NEWS AND ARTICLES

February 21, 2024
SEC Alleges Fraud Against Morgan Stanley and Former Executive in Block Trading Business

As reported by the Wall Street Journal, the Securities and Exchange Commission (SEC) has charged Morgan Stanley & Co. LLC and its former head of equity syndicate desk, Pawan Passi, with a multi-year fraud involving the disclosure of confidential information related to block trades.

February 20, 2024
Challenges Persist: Firms Struggle to Comply with Regulation Best Interest

FINRA's annual report for 2024 reveals a concerning trend among broker-dealers, with numerous instances of violations of Regulation Best Interest (Reg BI).

February 19, 2024
FINRA Flags Violations in 70% of Broker-Dealers' Crypto Communications

During a two-year-old targeted examination, the Financial Industry Regulatory Authority (FINRA) has identified potential violations in 70 percent of broker-dealers' communications about cryptocurrencies.

TESTIMONIALS

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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.

Cindy C.

LATEST NEWS AND ARTICLES

February 21, 2024
SEC Alleges Fraud Against Morgan Stanley and Former Executive in Block Trading Business

As reported by the Wall Street Journal, the Securities and Exchange Commission (SEC) has charged Morgan Stanley & Co. LLC and its former head of equity syndicate desk, Pawan Passi, with a multi-year fraud involving the disclosure of confidential information related to block trades.

February 20, 2024
Challenges Persist: Firms Struggle to Comply with Regulation Best Interest

FINRA's annual report for 2024 reveals a concerning trend among broker-dealers, with numerous instances of violations of Regulation Best Interest (Reg BI).

February 19, 2024
FINRA Flags Violations in 70% of Broker-Dealers' Crypto Communications

During a two-year-old targeted examination, the Financial Industry Regulatory Authority (FINRA) has identified potential violations in 70 percent of broker-dealers' communications about cryptocurrencies.