Tagged with "Under Investigations"

CFP Professionals Under Investigation Need Attorney Representation

Posted on August 19th, 2020 at 3:49 PM
CFP Professionals Under Investigation Need Attorney Representation

As we have discussed in a previous Eccleston Law post, the CFP Board has the authority to conduct an investigation of a CFP professional.

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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.

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