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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I just received this letter from the CFP Board. Thank you, Thank you, THANK YOU!

David Y

LATEST NEWS AND ARTICLES

February 20, 2025
Vanguard Settles SEC Allegations Over Misleading Statements on Tax Implications

Vanguard Group has agreed to pay over $106 million to settle allegations by the U.S. Securities and Exchange Commission (SEC) that it misled retail investors regarding capital gains distributions and tax liabilities associated with its popular target-date retirement funds.

February 20, 2025
Former Rubicon Wealth Management President Pleads Guilty to Fraud Charges

Scott Mason, former president of Rubicon Wealth Management, pleaded guilty to multiple fraud charges after federal prosecutors accused him of misappropriating over $17 million from clients, including his own widowed aunt.

February 19, 2025
FINRA Highlights Compliance Priorities for 2025

The Financial Industry Regulatory Authority (FINRA) has released its annual regulatory oversight report, emphasizing key compliance concerns for broker-dealers.

TESTIMONIALS

Previous
Next

Thank you for your professional assistance with this matter. You are very good at what you do.

John T.

LATEST NEWS AND ARTICLES

February 20, 2025
Vanguard Settles SEC Allegations Over Misleading Statements on Tax Implications

Vanguard Group has agreed to pay over $106 million to settle allegations by the U.S. Securities and Exchange Commission (SEC) that it misled retail investors regarding capital gains distributions and tax liabilities associated with its popular target-date retirement funds.

February 20, 2025
Former Rubicon Wealth Management President Pleads Guilty to Fraud Charges

Scott Mason, former president of Rubicon Wealth Management, pleaded guilty to multiple fraud charges after federal prosecutors accused him of misappropriating over $17 million from clients, including his own widowed aunt.

February 19, 2025
FINRA Highlights Compliance Priorities for 2025

The Financial Industry Regulatory Authority (FINRA) has released its annual regulatory oversight report, emphasizing key compliance concerns for broker-dealers.