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

Beth and Steve K.

LATEST NEWS AND ARTICLES

March 21, 2025
SEC Updates Marketing Rule Guidance to Clarify Extracted Performance and Portfolio Metrics

The Securities and Exchange Commission (SEC) has issued updated guidance on its marketing rule, addressing industry concerns regarding net performance requirements, extracted performance, and portfolio characteristics.

March 20, 2025
Stifel Loses Raiding Case, Ordered to Pay Over $7 Million in Legal Fees

Stifel Financial has lost its raiding and breach-of-contract claim against a group of advisors who left its Indianapolis office to establish their own firm.

March 19, 2025
FINRA Enforcement Actions in 2024: Fines Drop But Cases Increase

The Financial Industry Regulatory Authority (FINRA) imposed $59 million in fines in 2024, reflecting a 35 percent decrease from the previous year, according to an analysis by Eversheds Sutherland.

TESTIMONIALS

Previous
Next

I just wanted to say thanks again for preparing and executing my case in such a professional manner. It was a pleasure to watch two professionals take such pride in their work, as well as becoming personally in tune with your client (Me). I would personally recommend you and your firm to anyone.

John O.

LATEST NEWS AND ARTICLES

March 21, 2025
SEC Updates Marketing Rule Guidance to Clarify Extracted Performance and Portfolio Metrics

The Securities and Exchange Commission (SEC) has issued updated guidance on its marketing rule, addressing industry concerns regarding net performance requirements, extracted performance, and portfolio characteristics.

March 20, 2025
Stifel Loses Raiding Case, Ordered to Pay Over $7 Million in Legal Fees

Stifel Financial has lost its raiding and breach-of-contract claim against a group of advisors who left its Indianapolis office to establish their own firm.

March 19, 2025
FINRA Enforcement Actions in 2024: Fines Drop But Cases Increase

The Financial Industry Regulatory Authority (FINRA) imposed $59 million in fines in 2024, reflecting a 35 percent decrease from the previous year, according to an analysis by Eversheds Sutherland.