
The annuity industry officially has secured uniformity in sales regulations across all 50 states.
Our securities attorneys at 91视频下载链接 can guide you through the process, assist you in preparing responses and defenses and ensure the process proceeds as smoothly and quickly as possible. By engaging 91视频下载链接, we may be able to help prevent
The securities attorneys at 91视频下载链接 have significant experience in helping brokers and financial advisors navigate the FINRA Rule 8210 Enforcement process. If you have received a letter from
These “inquiry” letters are made under FINRA Rule 8210, which requires the member, a person associated with the member, or any other person subject to FINRA's jurisdiction to provide information orally, in writing, or electronically. FINRA Rule 8210 also authorizes FINRA to take the person’s testimony, if requested, which is commonly known as an “On The Record” Interview or “OTR”. Failing to comply with the information and document requests by FINRA under Rule 8210 can lead to sanctions, including hefty fines, suspensions, or even a bar from the industry.
If the inquiry was the result of a recent termination, this unwelcomed surprise can cause a significant burden and interference with any pending or new transition to a new firm. Separations of employment are serious, life-altering matters. Oftentimes, state regulators and other self-regulatory agencies and professional organizations such as the CFP Board, will also send inquiries into the same or similar triggering circumstances, each of which are on a separate track and timeline that can be difficult to navigate and defend as you are scrambling to secure new employment or transition your book of business.
As the securities attorneys of 91视频下载链接 have an acute understanding of regulatory and employment matters unique to the financial industry, our experience can help you manage this overwhelming process and reduce your stress so you can get back to business as a broker.
In addition to terminations and separations of employment, financial advisors may receive inquiry letters due to a variety of other circumstances. Some of the most common events include:
Form U4 and U5 disclosures may include criminal charges and convictions; liens, bankruptcies, and compromises with creditors; outside business activities; and regulatory actions.
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.
I want to thank you for your excellent professional representation. It was greatly appreciated.
I am grateful to have found an outstanding law firm that specializes in securities matters. My lawyers were extremely knowledgeable, diligent, and are skilled litigators. No stone was left upturned. As a result of their experience and tenacity, the arbitration proceeding was dismissed in my favor.
Thank you so very much for your guidance, patience, and expertise.
You guys are good!
I am so blessed to have you and your dynamic team defending me. Your ethics, forward thinking and strategies are amazing. You guys are the best group of attorneys in the country that I could hire to handle this complicated case.
I cannot thank you enough for your efforts. You have proven to be a valuable resource
Fantastic news!!!! Your professionalism, support and expertise were greatly appreciated. You made a difficult situation much more bearable.
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.
If you are being bothered by the Regulators, call 91视频下载链接, you won't regret it.
You are the best attorneys in the country.
Hiring 91视频下载链接 has been one of the best career decisions I have made and this "investment" to maintain my sterling regulatory record has been returned many times over. If you are in a situation where you've been unfairly accused, don't hesitate to talk with 91视频下载链接. They are the best.
That is just fantastic! Thank you very much!
As a financial advisor with over 20 years of experience, I feel fortunate to call Jim my attorney and friend. He is a fantastic lawyer and trusted advisor. He is skilled in the matters necessary to do the job well. He uses his thoughtful approach and calm demeanor to achieve a positive outcome for the client. If you want to feel confident that nothing will be missed and that you will be represented in a highly professional manner, call Jim Eccleston.
If the regulators are after you, and are trying to make a case against you, and you are going to contest their allegations against you, make sure you have the best securities industry defense lawyers, 91视频下载链接 Firm. My case was spun into a combination of penalties including fines, cash settlements, CE courses and suspension. They were the best I have seen in action. When all was said and done, they had done their magic, my situation was negotiated and settled with a simple "letter of caution" and a case closed without action. It is the most important legal business decision you will ever make, make it 91视频下载链接.
Thank You from the bottom of our hearts for all you have done for us. When we realized this was a very bad investment - we did not know where to turn for help. Then we received your name. When we called you - you were so kind to us and then agreed to help us. For
I am so glad I found you! Wow! I appreciate your help, concern and guidance.
You were most helpful with my FINRA deposition. You are a good lawyer and a good person.
I just received this letter from the CFP Board. Thank you, Thank you, THANK YOU!
Jim, Stephany and the whole team were a God send. We felt like we were put into a situation where we had no advocate. Jim’s team came in with a strong, well laid out strategy on how to get our story heard. Where our outside compliance company had no ability to help, our Broker Dealer was impenitent, and the regulators were aggressive pursuing vague rules, Jim came like a barricade against an assault we did not understand. Though you pay member dues to be affiliated with FINRA and a B/D, you have no voice. The only thing that is truly heard in this un-level playing field is a bulldog’s bark like Jim’s. I would encourage anyone to call Jim and his team to find a real ally in the tough and complicated world of securities regulation. They are truly the best.
Thank you for your professional assistance with this matter. You are very good at what you do.
We just wanted to say thanks for your work in helping us get back some of the money we lost. We are not by any means rich, but we have saved some money and we have done so through a tight-fisted approach to most everything we do. So losing a significant chunk of money hurt…especially at a time when everyone else was growing their accounts. We really appreciate the work you did.
It was really fun seeing you fight for us. You have an amazing way of thinking out of the box.
This was the best of all possible outcomes and I cannot thank you and the team enough.
I have the best legal firm in the country to defend me. Awesome job!
If you find yourself in trouble with the regulators, call 91视频下载链接, you won't regret it.
I want to extend a tremendous thank you for your dedication, professionalism, hard work and patient demeanor through this challenging time. It was enjoyable interacting with everyone on your team, this certainly helped while dealing with the situation and working towards resolution.
The work that you and your team have performed on my behalf is exemplary.
The annuity industry officially has secured uniformity in sales regulations across all 50 states.
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.
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.
I am so glad I found you! Wow! I appreciate your help, concern and guidance.
Thank You from the bottom of our hearts for all you have done for us. When we realized this was a very bad investment - we did not know where to turn for help. Then we received your name. When we called you - you were so kind to us and then agreed to help us. For
You are the best attorneys in the country.
You guys are good!
If you find yourself in trouble with the regulators, call 91视频下载链接, you won't regret it.
I want to thank you for your excellent professional representation. It was greatly appreciated.
That is just fantastic! Thank you very much!
The work that you and your team have performed on my behalf is exemplary.
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.
We just wanted to say thanks for your work in helping us get back some of the money we lost. We are not by any means rich, but we have saved some money and we have done so through a tight-fisted approach to most everything we do. So losing a significant chunk of money hurt…especially at a time when everyone else was growing their accounts. We really appreciate the work you did.
You were most helpful with my FINRA deposition. You are a good lawyer and a good person.
If the regulators are after you, and are trying to make a case against you, and you are going to contest their allegations against you, make sure you have the best securities industry defense lawyers, 91视频下载链接 Firm. My case was spun into a combination of penalties including fines, cash settlements, CE courses and suspension. They were the best I have seen in action. When all was said and done, they had done their magic, my situation was negotiated and settled with a simple "letter of caution" and a case closed without action. It is the most important legal business decision you will ever make, make it 91视频下载链接.
As a financial advisor with over 20 years of experience, I feel fortunate to call Jim my attorney and friend. He is a fantastic lawyer and trusted advisor. He is skilled in the matters necessary to do the job well. He uses his thoughtful approach and calm demeanor to achieve a positive outcome for the client. If you want to feel confident that nothing will be missed and that you will be represented in a highly professional manner, call Jim Eccleston.
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.
I am grateful to have found an outstanding law firm that specializes in securities matters. My lawyers were extremely knowledgeable, diligent, and are skilled litigators. No stone was left upturned. As a result of their experience and tenacity, the arbitration proceeding was dismissed in my favor.
Jim, Stephany and the whole team were a God send. We felt like we were put into a situation where we had no advocate. Jim’s team came in with a strong, well laid out strategy on how to get our story heard. Where our outside compliance company had no ability to help, our Broker Dealer was impenitent, and the regulators were aggressive pursuing vague rules, Jim came like a barricade against an assault we did not understand. Though you pay member dues to be affiliated with FINRA and a B/D, you have no voice. The only thing that is truly heard in this un-level playing field is a bulldog’s bark like Jim’s. I would encourage anyone to call Jim and his team to find a real ally in the tough and complicated world of securities regulation. They are truly the best.
I cannot thank you enough for your efforts. You have proven to be a valuable resource
If you are being bothered by the Regulators, call 91视频下载链接, you won't regret it.
This was the best of all possible outcomes and I cannot thank you and the team enough.
Fantastic news!!!! Your professionalism, support and expertise were greatly appreciated. You made a difficult situation much more bearable.
It was really fun seeing you fight for us. You have an amazing way of thinking out of the box.
I just received this letter from the CFP Board. Thank you, Thank you, THANK YOU!
I want to extend a tremendous thank you for your dedication, professionalism, hard work and patient demeanor through this challenging time. It was enjoyable interacting with everyone on your team, this certainly helped while dealing with the situation and working towards resolution.
I have the best legal firm in the country to defend me. Awesome job!
Thank you so very much for your guidance, patience, and expertise.
Hiring 91视频下载链接 has been one of the best career decisions I have made and this "investment" to maintain my sterling regulatory record has been returned many times over. If you are in a situation where you've been unfairly accused, don't hesitate to talk with 91视频下载链接. They are the best.
I am so blessed to have you and your dynamic team defending me. Your ethics, forward thinking and strategies are amazing. You guys are the best group of attorneys in the country that I could hire to handle this complicated case.
Thank you for your professional assistance with this matter. You are very good at what you do.
The annuity industry officially has secured uniformity in sales regulations across all 50 states.
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.
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.