MAH Advising on Regulation Matters

MAH Advising defends financial advisors against investigations, inquiries, and disciplinary actions initiated by the SEC, FINRA, insurance regulators, state securities, as well as  professional organizations such as the Certified Financial Planner (CFP) Board of  Standards. FINRA, the SEC, and state securities regulators are just a few of the regulatory bodies that MAH Advising’s securities advisers have experience representing financial advisors before.

Among the regulatory services offered by MAH Advising are:

  • Help prepare marketing and compliance responses to allegations of examination deficiencies and represent investment advisers in SEC and state regulatory examinations.
  • Inquiries and disciplinary actions by the CFP Board should be defended.
  • Provide assistance in drafting responses to SEC challenges regarding the alleged failings of the examination process.
  • Defense of FINRA license suspension hearings and post-arbitration award  proceedings and appeals.
  • Ensure policies and procedures are reviewed annually (an audit).

Besides serving as securities advisors, MAH Advising is also active in numerous other areas such as strategic consulting, employment matters, whistleblower actions, and arbitrations. Please contact MAH Advising to set up a telephone conference to seek assistance with SEC legal matters.

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.