Century Law Group, LLP Century Law Group, llp

Financial professionals under routinely searing regulatory scrutiny

Many members of the general public in California and nationally likely do not know what the acronym FINRA stands for.

That is certainly not the case for financial professionals, though. Those individuals (investment advisers, CPAs and other industry principals) think regularly about the Financial Industry Regulatory Authority and its close nexus to their business.

There is a good reason why they do. FINRA is an independent entity that has regulatory authority over most of the country's financial professionals. Its officials make rules, dictate procedures and, importantly, enforce penalties for violations.

That last point is key for those affected by FINRA sanctions. We note on our website at the proven California license-defense firm of Century Law Group that those potentially include "heavy fines, license suspension or revocation, and even criminal sanctions."

A financial professional can face stark difficulties when challenged by FINRA -- and sometimes other regulatory bodies -- for behavior that allegedly violates a client's trust or an industry expectation. Industry participants are routinely accused of things like stock portfolio mismanagement, account churning, fraud, insider trading and more.

They need knowledgeable and aggressive representation from legal advocates who regularly work within America's complex securities law realm when that is the case. Attorneys from a law firm that specializes in defending financial professionals can provide diligent advocacy to a client in every facet of a formal hearing, administrative appeal or court process.

A professional license is a precious asset. It understandably needs to be defended aggressively against challenges by a legal team with a demonstrated record of strong client advocacy.

No Comments

Leave a comment
Comment Information
Contact Our Firm Today ยป

Contact Our Los Angeles, San Diego Or Northern California Law Offices

Bold labels are required.

Contact Information
disclaimer.

The use of the Internet or this form for communication with the firm or any individual member of the firm does not establish an attorney-client relationship. Confidential or time-sensitive information should not be sent through this form.

close

Privacy Policy

Los Angeles Office
5200 West Century Boulevard
Suite 345
Los Angeles, CA 90045

Toll Free: 800-465-4192
Phone: 310-693-6097
Fax: 310-642-6910
Map & Directions

San Diego Office
One American Plaza
900 West Broadway
Suite 400
San Diego, CA 92191

Toll Free: 800-465-4192
Phone: 310-693-6097
Fax: 310-642-6910
Map & Directions

Northern California Office
10100 Fair Oaks Boulevard
Suite D
Fair Oaks, CA 95628

Toll Free: 800-465-4192
Phone: 310-693-6097
Fax: 310-642-6910
Map & Directions

Local 310-693-6097 | Toll Free 800-465-4192 | fax 310-642-6910