Securities attorneys for Regulatory Matters

 The securities attorneys at Eccleston Law can defend financial advisors against inquiries, investigations, and disciplinary actions initiated by FINRA, SEC, state securities and insurance regulators, and other professional organizations such as the Certified Financial Planner (CFP) Board of Standards. Our team of securities attorneys at Eccleston Law have experience representing financial advisors before regulatory bodies such as the FINRA, SEC, and state securities regulators in New York, Chicago, Florida, and several other states nationwide. 

Regulatory Legal Defense Services

The securities attorneys at Eccleston Law offer regulatory legal defense services including:

Represent investment advisers during SEC and state regulatory examinations and assist in drafting responses to the SEC challenging alleged examination deficiencies.
Defend against CFP Board inquiries and disciplinary actions.
Assist in drafting responses to the SEC challenging alleged examination deficiencies.
Provide FINRA license suspension hearing defense and post-arbitration award proceedings and appeals.
Provide an annual review (audit) of policies and procedures.

The securities attorneys at Eccleston Law also practice a variety of other areas of securities for financial advisors including breakaway broker services, employment matters, strategic consulting and counseling, broker litigation and arbitration, whistleblower actions, and much more. If you need a securities attorney for SEC & FINRA legal matters, contact Eccleston Law to schedule a telephone conference.



 

 

 

TESTIMONIALS

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I learned two important things working with Eccleston Law. First, I made a friend and ally with Jim and Steph for life. Secondly, and this is a crucial life lesson - if you need counsel, then seek out the very best. Jim was referred to me by a most trusted source. I've never had to hire an attorney for anything. Now, I know the value of hiring an important partner. Meticulous, thorough and detailed in preparation is the best way to describe Jim. Brilliant too, I might add. Bottom line, I would highly highly recommend Jim and Stephany for your legal needs. One of the best life decisions I've ever made.

Howard S.

LATEST NEWS AND ARTICLES

July 17, 2025
Former LPL Advisor Suspended for Beneficiary Designation Violations

A former LPL Financial advisor has agreed to an eight-month suspension and a $5,000 fine after the Financial Industry Regulatory Authority (FINRA) found he improperly named his immediate family members as beneficiaries on a client’s accounts without firm approval.

July 16, 2025
Former CFA Institute Executive Charged in $5 Million Embezzlement Scheme

Michael J. Collins, the former chief marketing officer of the CFA Institute, has been accused of embezzling nearly $5 million from the financial education organization through a long-running fraud scheme designed to fund a lavish personal lifestyle.

July 15, 2025
Former Advisor Sues Prime Capital Again Over Unpaid Equity Redemption

A former San Diego-based advisor has filed a second lawsuit against Prime Capital Financial, alleging breach of contract after the firm failed to honor agreed-upon terms related to his equity buyout.

TESTIMONIALS

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Fantastic news!!!!  Your professionalism, support and expertise were greatly appreciated.  You made a difficult situation much more bearable.

Marci M.

LATEST NEWS AND ARTICLES

July 17, 2025
Former LPL Advisor Suspended for Beneficiary Designation Violations

A former LPL Financial advisor has agreed to an eight-month suspension and a $5,000 fine after the Financial Industry Regulatory Authority (FINRA) found he improperly named his immediate family members as beneficiaries on a client’s accounts without firm approval.

July 16, 2025
Former CFA Institute Executive Charged in $5 Million Embezzlement Scheme

Michael J. Collins, the former chief marketing officer of the CFA Institute, has been accused of embezzling nearly $5 million from the financial education organization through a long-running fraud scheme designed to fund a lavish personal lifestyle.

July 15, 2025
Former Advisor Sues Prime Capital Again Over Unpaid Equity Redemption

A former San Diego-based advisor has filed a second lawsuit against Prime Capital Financial, alleging breach of contract after the firm failed to honor agreed-upon terms related to his equity buyout.