Securities Attorneys For CFA and CIMA Matters

The securities attorneys at Eccleston Law represent advisors and analysts in investigations, complaints, and other disciplinary actions initiated by the CFA Institute and CIMA (now known as the Investments and Wealth Institute). Financial advisors and analysts with the CFA or CIMA (CPWA or RMA) designation must follow certain codes of conduct.

Failure to follow such codes of conduct may result in an investigation, disciplinary action and resulting private censure, public letter of admonition, suspension of the right to use the certification or even permanent revocation of the certification.

 

NOTICE OF INVESTIGATION AND POSSIBLE DISCIPLINARY HEARING

Investigations should not be taken lightly.  When a financial advisor or analyst receives an inquiry of any kind, legal counsel is highly recommended to consult and/or be in the forefront of communicating with and dealing with the investigator in charge.

In many cases, a disciplinary complaint is filed. There are strict rules and procedures to follow in the disciplinary process.  An attorney strongly is recommended at this stage of the disciplinary process. 

EXPERIENCED SECURITIES ATTORNEYS FOR CFA AND CIMA INVESTIGATIONS AND DISCIPLINARY MATTERS

If you have received a notice of investigation or complaint, our experienced securities attorneys can provide unparalleled guidance to you in all aspects of the disciplinary proceedings and help maximize your chances of retaining the right to use the hard-earned and valuable marks by:

Evaluating
Evaluating and developing your factual defenses and analyzing rules and prior case histories to develop legal defenses.
Responses
Drafting written responses to investigation requests and disciplinary complaints, and proposing offers of settlement to avoid costly fees.
Consulting
Consulting and filing petitions to reinstate revoked certifications as needed.
Defending
Appearing at the disciplinary hearing to defend you and put on your case.



 

 

 

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

January 21, 2025
FINRA Orders $8.2 Million in Customer Restitution Over Mutual Fund Fee Errors

FINRA has required Edward Jones, Osaic Wealth, and Cambridge Investment Research to reimburse customers a combined total of more than $8.2 million for improperly charged mutual fund sales fees.

January 21, 2025
James Eccleston Awarded Spot in 2025 Illinois Super Lawyers List

Attorney James Eccleston has been selected for the 2025 Illinois Super Lawyers List, an honor given exclusively to lawyers who exhibit excellence in their practice. 

January 20, 2025
Wells Fargo and LPL Financial Settle SEC Charges Over Blue Sheet Reporting Errors

The Securities and Exchange Commission (SEC) announced settlements with Wells Fargo Clearing Services and LPL Financial, each agreeing to pay a $900,000 penalty for failing to provide complete and accurate securities trading information, also known as electronic blue sheet data. 

TESTIMONIALS

Previous
Next

Thank you so very much for your guidance, patience, and expertise.

Beth and Steve K.

LATEST NEWS AND ARTICLES

January 21, 2025
FINRA Orders $8.2 Million in Customer Restitution Over Mutual Fund Fee Errors

FINRA has required Edward Jones, Osaic Wealth, and Cambridge Investment Research to reimburse customers a combined total of more than $8.2 million for improperly charged mutual fund sales fees.

January 21, 2025
James Eccleston Awarded Spot in 2025 Illinois Super Lawyers List

Attorney James Eccleston has been selected for the 2025 Illinois Super Lawyers List, an honor given exclusively to lawyers who exhibit excellence in their practice. 

January 20, 2025
Wells Fargo and LPL Financial Settle SEC Charges Over Blue Sheet Reporting Errors

The Securities and Exchange Commission (SEC) announced settlements with Wells Fargo Clearing Services and LPL Financial, each agreeing to pay a $900,000 penalty for failing to provide complete and accurate securities trading information, also known as electronic blue sheet data.