Tagged with "cfp enforcement"

CFP Board Enforcement Process: No Challenges in CFP Board Proceeding to Criminal Convictions, Professional Discipline, or Civil Liability

Posted on July 28th, 2020 at 2:49 PM
CFP Board Enforcement Process: No Challenges in CFP Board Proceeding to Criminal Convictions, Professional Discipline, or Civil Liability

This is the sixth of several posts detailing the CFP Board enforcement process.  This post will focus on the rules regarding records which a Respondent cannot challenge in a CFP Board proceeding.

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CFP Board Enforcement Process: Default; Suspension, Revocation, or Bar

Posted on July 13th, 2020 at 3:52 PM
CFP Board Enforcement Process: Default; Suspension, Revocation, or Bar

This is the fourth of several posts detailing the CFP Board enforcement process.  This post will focus on what happens in the event a respondent is found to be in default.    

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CFP Board Enforcement Process: Complaint and Answer

Posted on July 6th, 2020 at 4:18 PM
CFP Board Enforcement Process: Complaint and Answer

This is the third of several posts detailing the CFP Board enforcement process.  This post will focus on one potential outcome of a CFP Board investigation: a complaint filed by the CFP Board Counsel.  

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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.

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LATEST NEWS AND ARTICLES

September 22, 2023
State Regulators Maintain Opposition to FINRA's Remote Supervision Pilot Program

The North American Securities Administrators Association (NASAA) and the Public Investor Advocate Bar Association (PIABA) has consistently opposed the Financial Industry Regulatory Authority's (FINRA) proposal for a voluntary three-year pilot program for remote inspections.

September 21, 2023
SEC Charges Private Equity Firm Over Fee Disclosure Failures to Affiliate

The Securities and Exchange Commission (SEC) has charged Prime Group Holdings LLC, a private equity firm specializing in alternative real estate asset investments, with
inadequate disclosure of millions of dollars in real estate brokerage fees paid to a brokerage firm owned by its CEO.

September 20, 2023
SEC Orders Legendary Capital Founder and REIT Advisors to Pay Nearly $5 Million

Corey Maple, co-founder of non-traded REIT sponsor Legendary Capital, has agreed to a $100,000 civil penalty to settle charges brought by the Securities and Exchange Commission (SEC).