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.

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.



 

 

 

TESTIMONIALS

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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 this we are so very grateful. The world would be a much nicer place if there were more people like the two of you in it. We will always remember all the help and kindness you have shown us. Thank you so very very much for everything.

Wayne and Judy S.

LATEST NEWS AND ARTICLES

April 29, 2025
Merrill Lynch Fires Veteran Advisor for Ignoring Mandated Commission Discounts

Merrill Lynch has terminated Daniel G. Diaz, a 37-year industry veteran, for refusing to apply commission discounts to certain client accounts as instructed by management, according to his Central Registration Depository (CRD) record.

April 28, 2025
Former Morgan Stanley Advisor Barred After Fraudulent Check Allegations

Roger A. Gallagher has accepted an industry bar from FINRA rather than cooperate with a regulatory investigation. According to a FINRA Acceptance, Waiver, and Consent letter (“AWC”).

April 25, 2025
Rosedale Advisory Firm Fined for Role in NCAA Player Referral Bribery Scheme

The Securities and Exchange Commission (SEC) has finalized a cease-and-desist proceeding against Rosedale, a former SEC-registered investment adviser, for violations of the Investment Advisers Act of 1940.

TESTIMONIALS

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I have the best legal firm in the country to defend me. Awesome job!

Cindy C.

LATEST NEWS AND ARTICLES

April 29, 2025
Merrill Lynch Fires Veteran Advisor for Ignoring Mandated Commission Discounts

Merrill Lynch has terminated Daniel G. Diaz, a 37-year industry veteran, for refusing to apply commission discounts to certain client accounts as instructed by management, according to his Central Registration Depository (CRD) record.

April 28, 2025
Former Morgan Stanley Advisor Barred After Fraudulent Check Allegations

Roger A. Gallagher has accepted an industry bar from FINRA rather than cooperate with a regulatory investigation. According to a FINRA Acceptance, Waiver, and Consent letter (“AWC”).

April 25, 2025
Rosedale Advisory Firm Fined for Role in NCAA Player Referral Bribery Scheme

The Securities and Exchange Commission (SEC) has finalized a cease-and-desist proceeding against Rosedale, a former SEC-registered investment adviser, for violations of the Investment Advisers Act of 1940.