91视频下载链接

Securities attorneys for Regulatory Matters

 The securities attorneys at 91视频下载链接 can defend financial advisors against inquiries, investigations, and disciplinary actions initiated by FINRA, SEC, state securities and insurance regulators, and other professional organizations such as the Certified Financial Planner (CFP) Board of Standards. Our team of securities attorneys at 91视频下载链接 have experience representing financial advisors before regulatory bodies such as the FINRA, SEC, and state securities regulators in New York, Chicago, Florida, and several other states nationwide. 

Regulatory Legal Defense Services

The securities attorneys at 91视频下载链接 offer regulatory legal defense services including:

Represent investment advisers during SEC and state regulatory examinations and assist in drafting responses to the SEC challenging alleged examination deficiencies.
Defend against CFP Board inquiries and disciplinary actions.
Assist in drafting responses to the SEC challenging alleged examination deficiencies.
Provide FINRA license suspension hearing defense and post-arbitration award proceedings and appeals.
Provide an annual review (audit) of policies and procedures.

The securities attorneys at 91视频下载链接 also practice a variety of other areas of securities for financial advisors including breakaway broker services, employment matters, strategic consulting and counseling, broker litigation and arbitration, whistleblower actions, and much more. If you need a securities attorney for SEC & FINRA legal matters, contact 91视频下载链接 to schedule a telephone conference.



 

 

 

TESTIMONIALS

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You are the best attorneys in the country.

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LATEST NEWS AND ARTICLES

July 8, 2025
Veteran Advisors Challenge Focus Financial Overbroad Non-Competes in Federal Court

Two former advisors from Edge Capital Group have filed a federal lawsuit challenging what they describe as excessively restrictive employment agreements following their departure amid a major merger.

July 7, 2025
Maryland Bars Financial Advisor Over Excessive Fees and Unsuitable Investments

The Maryland Securities Commissioner has barred financial advisor Timothy Pickett and his firm, Blue Anchor Capital Management, from operating in the securities industry within the state.

July 3, 2025
FINRA Proposes Rule Change to Delay Immediate Sanctions Pending SEC Review

The Financial Industry Regulatory Authority (“FINRA”) has proposed a rule change that would allow broker-dealers and registered representatives to seek a stay of certain disciplinary sanctions before those penalties take effect.

TESTIMONIALS

Previous
Next

I want to thank you for your excellent professional representation. It was greatly appreciated.

Michael M.

LATEST NEWS AND ARTICLES

July 8, 2025
Veteran Advisors Challenge Focus Financial Overbroad Non-Competes in Federal Court

Two former advisors from Edge Capital Group have filed a federal lawsuit challenging what they describe as excessively restrictive employment agreements following their departure amid a major merger.

July 7, 2025
Maryland Bars Financial Advisor Over Excessive Fees and Unsuitable Investments

The Maryland Securities Commissioner has barred financial advisor Timothy Pickett and his firm, Blue Anchor Capital Management, from operating in the securities industry within the state.

July 3, 2025
FINRA Proposes Rule Change to Delay Immediate Sanctions Pending SEC Review

The Financial Industry Regulatory Authority (“FINRA”) has proposed a rule change that would allow broker-dealers and registered representatives to seek a stay of certain disciplinary sanctions before those penalties take effect.