Investigations from financial industry enforcement, like FINRA, the SEC, and CFP Board, demands responses that are precise. Every word is evidence.
All regulatory enforcement investigations start with a simple inquiry and can end in disclosures, suspensions, fines, and possible barring from the financial services industry.
Due to the stakes involved at this level, it is vitally important to respond promptly, consistently, and with a high degree of precision. An advisor should always have counsel representing them at every point in this process.
There is no point in your financial advice career that AdvisorLaw will work harder at protecting your livelihood than when you are subject to a FINRA, state, or licensing board investigation (such as the CFP Board).
AdvisorLaw provides representation against all threats, including FINRA and SEC Enforcement, state regulators, the CFP Board, firm compliance, and retail investors. Our services were created exclusively for financial advisors and wealth managers. We’re can protect your livelihood.
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