MAH Advising for State Registration and Licensing

MAH Advising has defended financial advisors and brokers in a wide variety of administrative actions before the SEC, FINRA, CFP Boards and other self-regulatory agencies. We routinely assist brokers and financial advisory firms to understand and comply with the stipulations of state securities laws and regulations.

We can also help with matters related to investigations and disciplinary actions involving brokers and financial advisors.

No matter if you are applying for registration or amending ADV disclosures, or if you have received a request for documents and information after an examination, we may be able to prevent an inquiry from becoming a formal investigation or disciplinary action.

Experienced Securities Consultants

If you have already addressed formal complaints or offered to negotiate a formal Stipulation and Consent Agreement, MAH Advising will likely reduce your costs and maximize your chances for success, and we can assist with many common types of state regulatory actions by:

  • To develop legal defenses, examine the State Administrative Code Sanction Guidelines;
  • Responding to allegations and drafting mitigation statements;
  • How to comply with State Regulatory requirements, Statutes, and Codes;
  • In regulatory proceedings, evaluating and developing factual defenses;
  • The negotiation of penalties and fines.

Our state licensing and registration specialists are available to advise you on state or industry regulations. Set up a free consultation with experienced securities advisors by calling or emailing MAH Advising.

Disclaimer: We are consultants, not lawyers, this is not legal advice. We work with the top law firms when the practice of law is required.