Protecting Advisers' most valuable assets - their clients, reputation & careers.

A Law Firm Built for Investors, Financial
Advisers & CFP Professionals

Protecting Advisers' most valuable assets - their licenses, reputation, careers & clients.

PRACTICE AREAS

CFP Board Matters & Defense

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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 Rule of Conduct, Standards, and Code of Ethics requirements, including, but not limited to assisting financial planners during the application process as well as reinstatement proceedings for CFP Certificants eligible for reinstatement.  

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Expungement of CRD Record and BrokerCheck Disclosures

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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.  

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FINRA 8210 Inquiries and FINRA Enforcement Defense

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Defending brokers and registered representatives in 8210 inquiries, FINRA investigations, OTRs and Wells Notices has been the cornerstone of  Kimberly L. 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. 

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State & Insurance License, Registration and Disciplinary Matters

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Ms. Chavers regularly represents brokers and investment advisers in state & 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.

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Securities Employment Issues & Broker Transition Matters

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Representation of brokers, investment advisors, 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

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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. 

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Contact An Experienced Securities Attorney Today (941) 374-7979

Get in Touch

CHAVERS LAW, PLLC

Sarasota, Florida, United States*

Call (941) 374-7979 or Email KChavers@ChaversLawFL.com

*Available for Consultation and By Appointment

Extended hours also available by appointment.  

DISCLAIMER

This website is for general informational purposes only.  Although Chavers Law, PLLC and Kimberly L. Chavers, Esq. endeavor to provide accurate and timely information, all the information provided on this web site is of a general nature, and is not intended to provide advice, address individual circumstances or the needs of any particular person or entity.  This site is legal advertising. This information, including any links to outside web sites, is provided with no guarantee of completeness, accuracy, or timeliness.  It is not intended to render legal or other professional services.  Using this site or communicating with Chavers Law, PLLC and/or Kimberly L. Chavers, Esq. through this site does not form an attorney/client relationship. No one should act upon such information without appropriate advice and a thorough examination of the facts in a particular situation.  Chavers Law, PLLC and Kimberly L. Chavers, Esq. assume no liability for reliance on the information contained on its web site and reserves the right to make any change to the content without prior notice.  The information and materials on this web site may not be copied, or otherwise modified, for commercial use or distribution, nor shall any materials contained within be reposted to other web sites.