Regulatory Defense

Regulatory Defense

There is nothing worse than facing a fine, enforcement action, or litigation at the hands of a state regulator, the SEC, or FINRA.  Our attorneys know at the end of the day, the end game for regulators is to scare you into filling their coffers.  Our attorneys empower you to fight back against regulators by tirelessly advocating on your behalf, no matter how difficult or hopeless your case may seem.

We routinely work with advisers and firms who have received or are subject to:

  • Rule 8210 Requests
  • On The Record interviews (OTRs)
  • Wells Notices
  • Enforcement actions
  • Letter of Acceptance, Waiver and Consent (AWC)

 

Georgia Department of Insurance Defense

We represent agencies and agents with registration/licensing matters and investigations before the Georgia Department of Insurance.

CFP Board Defense

We have experience representing financial advisers in investigations, complaints, and other disciplinary actions initiated by the Certified Financial Planner Board of Standards, Inc. Financial advisers with CFP designation must follow the CFP Board’s Standards of Professional Conduct.

The CFP may conduct investigations for financial advisers who potentially violate CFP Rules, which can be triggered by a number of events, such as: customer arbitrations, criminal matters, regulatory actions by the SEC, CFTC, FINRA and state regulators, bankruptcies, employment terminations, reports from other financial advisers with CFP designation and even anonymous tips.

Sanctions for violations of CFP rules may result in a private censure, a public letter of admonition, suspension of the right to use the marks for up to five years or even permanent revocation of CFP designation.

If you have received a CFP Notice of Investigation, a CFP Complaint, or a notice of Presumptive Bar as a CFP Candidate, contact us today.

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