Legal Services Dedicated to Protecting Advisers' Clients, Reputation & Careers.
PRACTICE AREAS
CFP Board Compliance & Defense
Expungement of BrokerCheck, Form ADV & CRD Record Disclosures
Expungement of BrokerCheck, Form ADV & CRD Record Disclosures
Defense, Representation and Experienced Counsel for CFP® professionals.
Kimberly L. Chavers, Esq. regularly defends and counsels CFP® professionals in CFP Board inquiries, Notice of Investigations, formal disciplinary actions, and appeals. Ms. Chavers also counsels CFP® professionals regarding compliance with CFP Board's Code of Ethics and Standards of Conduct requirements, including, but not limited to, assisting advisers and financial planners during the application process, annual ethics declaration disclosure process as well as reinstatement proceedings for CFP® professionals eligible for reinstatement.
Expungement of BrokerCheck, Form ADV & CRD Record Disclosures
Expungement of BrokerCheck, Form ADV & CRD Record Disclosures
Expungement of BrokerCheck, Form ADV & CRD Record Disclosures
Kimberly L. Chavers, Esq. has successfully helped brokers, financial advisers and investment adviser reps nationwide with expungement guidance for Form U4, Form U5, Form ADV, CRD and BrokerCheck disclosures.
Are you ready to protect your professional career from being tarnished by negative disclosures?
If yes, contact Kimberly L. Chavers, Esq. today for a free consultation to see how we can protect your reputation and financial career.
FINRA 8210 Inquiries and FINRA Enforcement Defense
Expungement of BrokerCheck, Form ADV & CRD Record Disclosures
State & Insurance License Regulatory, Registration and Disciplinary Matters
Defending brokers and registered representatives in 8210 inquiries, FINRA investigations, OTRs and Wells Notices has been the cornerstone of Ms. Chavers' practice for years.
If you have received a letter from a FINRA investigator, who is conducting an inquiry (known as an 8210 letter/inquiry), contact Kimberly L. Chavers, Esq. today for a free consultation.
State & Insurance License Regulatory, Registration and Disciplinary Matters
State & Insurance License Regulatory, Registration and Disciplinary Matters
State & Insurance License Regulatory, Registration and Disciplinary Matters
Ms. Chavers regularly represents brokers and investment advisers in state and insurance application, renewal, regulatory and disciplinary matters.
If you have a state or insurance licensing or registration matter or need advice on complying with state or industry rules, Kimberly L. Chavers, Esq. is here to help. Call or email now to set up a free consultation with an experienced securities attorney.
Securities Employment Issues & Broker Transition Matters
State & Insurance License Regulatory, Registration and Disciplinary Matters
Securities Employment Issues & Broker Transition Matters
Representation of brokers, investment adviser representatives, and CFP® professionals in employment related issues, including employment agreements, separation agreements, promissory notes, and all aspects of the relationship.
Arbitration, Litigation, Mediation
State & Insurance License Regulatory, Registration and Disciplinary Matters
Securities Employment Issues & Broker Transition Matters
Kimberly L. Chavers, Esq. has represented investors in matters involving fraud and other broker misconduct, as well as brokers and advisers in FINRA Dispute Resolution in all stages of the litigation arbitration process, including, but not limited to, researching and preparing pleadings and filing statements of claim, analyzing defenses and asserting counterclaims, discovery and motion practice, oral arguments, mediation, and all the way through trial when necessary. With this experience, on both sides of the aisle, Ms. Chavers can effectively guide you through the process and ensure your best interests are protected.