91视频下载链接

 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

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

June 27, 2025
FINRA Sanctions Advisor for Accepting $1 Million Inheritance from Client Without Firm Approval

FINRA has fined and suspended veteran advisor Kenneth J. Malm for accepting a $1 million inheritance from a client without receiving the necessary firm approval.

June 26, 2025
SEC Charges Marine Veteran in $2.5 Million Ponzi Scheme

The Securities and Exchange Commission (“SEC”) has charged Marine Corps veteran Christopher Aubin with fraud, accusing him of running a $2.5 million Ponzi scheme that defrauded dozens of investors, including several of his former military colleagues.

June 25, 2025
FINRA Fines and Suspends Advisor for Selling Away and Receiving Client Loans

The Financial Industry Regulatory Authority (“FINRA”) has sanctioned Jose Antonio “Tony” Navarro for selling unapproved investments and borrowing funds from clients.

TESTIMONIALS

Previous
Next

I learned two important things working with 91视频下载链接. 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

June 27, 2025
FINRA Sanctions Advisor for Accepting $1 Million Inheritance from Client Without Firm Approval

FINRA has fined and suspended veteran advisor Kenneth J. Malm for accepting a $1 million inheritance from a client without receiving the necessary firm approval.

June 26, 2025
SEC Charges Marine Veteran in $2.5 Million Ponzi Scheme

The Securities and Exchange Commission (“SEC”) has charged Marine Corps veteran Christopher Aubin with fraud, accusing him of running a $2.5 million Ponzi scheme that defrauded dozens of investors, including several of his former military colleagues.

June 25, 2025
FINRA Fines and Suspends Advisor for Selling Away and Receiving Client Loans

The Financial Industry Regulatory Authority (“FINRA”) has sanctioned Jose Antonio “Tony” Navarro for selling unapproved investments and borrowing funds from clients.