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 Securities Attorneys For CFA and CIMA Matters

The securities attorneys at 91视频下载链接 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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The work that you and your team have performed on my behalf is exemplary.

JT

LATEST NEWS AND ARTICLES

May 8, 2025
All 50 States Now Aligned on Annuity Sales Standards

The annuity industry officially has secured uniformity in sales regulations across all 50 states.

May 7, 2025
Jury Finds Investment Advisor Liable for Failing to Disclose Annuity Commissions

A federal jury in Massachusetts has found investment adviser Jeffrey Cutter and his firm, Cutter Financial Group, liable for violating federal securities law by failing to disclose significant upfront commissions and conflicts of interest related to an annuity replacement scheme.

May 6, 2025
SEC Charges Three Individuals in $284 Million Arizona Sports Complex Bond Fraud by Legacy Cares

The Securities and Exchange Commission has filed a civil enforcement action against Randall “Randy” Miller, Chad Miller, and Jeffrey De Laveaga for allegedly defrauding investors in two municipal bond offerings that raised $284 million.

TESTIMONIALS

Previous
Next

I cannot thank you enough for your efforts. You have proven to be a valuable resource

Jim T.

LATEST NEWS AND ARTICLES

May 8, 2025
All 50 States Now Aligned on Annuity Sales Standards

The annuity industry officially has secured uniformity in sales regulations across all 50 states.

May 7, 2025
Jury Finds Investment Advisor Liable for Failing to Disclose Annuity Commissions

A federal jury in Massachusetts has found investment adviser Jeffrey Cutter and his firm, Cutter Financial Group, liable for violating federal securities law by failing to disclose significant upfront commissions and conflicts of interest related to an annuity replacement scheme.

May 6, 2025
SEC Charges Three Individuals in $284 Million Arizona Sports Complex Bond Fraud by Legacy Cares

The Securities and Exchange Commission has filed a civil enforcement action against Randall “Randy” Miller, Chad Miller, and Jeffrey De Laveaga for allegedly defrauding investors in two municipal bond offerings that raised $284 million.