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Submitted URL: http://www.ecclestonlaw.com/
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Submission: On January 18 via api from US — Scanned from DE
Effective URL: https://www.ecclestonlaw.com/
Submission: On January 18 via api from US — Scanned from DE
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About Who We Are Testimonials Disclaimers Attorneys For Advisors Broker Transition Transition Negotiations Employment Matters State Registration Problems & Discipline FINRA Matters Promissory Note Matters Team/Parnership Disputes CFP Board Matters FINRA Enforcement Matters State Registration Problems & Discipline Transition Negotiations Broker Litigation & Arbitration Employment Matters Regulatory Matters Strategic Consulting Whistleblower Law Promissory Note Matters Compliance Protection Lawyer Referral Network Expungement of CRD/BrokerCheck Disclosures CFA and CMIA Matters For Investors Securities Fraud Breach of Fiduciary Duty Negligent Investment Management Unauthorized Trading Lawyer Referral Network News & Articles News Articles Financial Counsel Blog Videos Newsletter Signup Contact Site Menu About Who We Are Testimonials Disclaimers Attorneys For Advisors For Advisors: Overview Broker Transition Broker Transition Overview Transition Negotiations Employment Matters State Registration Problems & Discipline FINRA Matters Promissory Note Matters Team/Parnership Disputes CFP Board Matters FINRA Enforcement Matters State Registration Problems & Discipline Transition Negotiations Broker Litigation & Arbitration Employment Matters Regulatory Matters Strategic Consulting Whistleblower Law Promissory Note Matters Compliance Protection Lawyer Referral Network Expungement of CRD/BrokerCheck Disclosures CFA and CMIA Matters For Investors For Investors: Overview Securities Fraud Breach of Fiduciary Duty Negligent Investment Management Unauthorized Trading Lawyer Referral Network News & Articles News Articles Financial Counsel Blog Videos Newsletter Signup Contact Representing Financial Advisors and Investors Nationwide ATTORNEYS FOR THE FINANCIAL SERVICES INDUSTRY Simply stated, Eccleston Law is the best law firm nationwide to service the needs of financial advisors and investors in employment and securities matters. We represent financial advisors as well as investors, on both sides of the aisle. With offices in Boca Raton, Chicago, and New York City, we set ourselves apart from our competition having gained invaluable insight and knowledge of the securities industry through our team of highly experienced attorneys. Due to our experience and accomplishments, the skilled attorneys at Eccleston Law, as well as James Eccleston himself, have earned the highest awards and distinctions by both clients and peers. FINRA ENFORCEMENT MATTERS We can guide you through the process, assist you in preparing responses and defenses, and ensure the process proceeds as smoothly and quickly as possible. Find Out More CFP BOARD MATTERS We have valuable experience in representing financial advisors in investigations, complaints, and other disciplinary actions initiated by the CFP Board. Find Out More TRANSITION NEGOTIATION Have an experienced attorney from Eccleston Law on your side to review the contract terms that the firm’s lawyer has drafted to protect his/her one and only client – the firm. Find Out More TESTIMONIALS You were most helpful with my FINRA deposition. You are a good lawyer and a good person. Dan B. As a financial advisor with over 20 years of experience, I feel fortunate to call Jim my attorney and friend. He is a fantastic lawyer and trusted advisor. He is skilled in the matters necessary to do the job well. He uses his thoughtful approach and calm demeanor to achieve a positive outcome for the client. If you want to feel confident that nothing will be missed and that you will be represented in a highly professional manner, call Jim Eccleston. Bill C. and Dan M. This was the best of all possible outcomes and I cannot thank you and the team enough. Michael S. The work that you and your team have performed on my behalf is exemplary. JT I am grateful to have found an outstanding law firm that specializes in securities matters. My lawyers were extremely knowledgeable, diligent, and are skilled litigators. No stone was left upturned. As a result of their experience and tenacity, the arbitration proceeding was dismissed in my favor. Michael E. I am so glad I found you! Wow! I appreciate your help, concern and guidance. RB If you are being bothered by the Regulators, call Eccleston Law, you won't regret it. Rick R. We just wanted to say thanks for your work in helping us get back some of the money we lost. We are not by any means rich, but we have saved some money and we have done so through a tight-fisted approach to most everything we do. So losing a significant chunk of money hurt…especially at a time when everyone else was growing their accounts. We really appreciate the work you did. Allan and Adele Jim, Stephany and the whole team were a God send. We felt like we were put into a situation where we had no advocate. Jim’s team came in with a strong, well laid out strategy on how to get our story heard. Where our outside compliance company had no ability to help, our Broker Dealer was impenitent, and the regulators were aggressive pursuing vague rules, Jim came like a barricade against an assault we did not understand. Though you pay member dues to be affiliated with FINRA and a B/D, you have no voice. The only thing that is truly heard in this un-level playing field is a bulldog’s bark like Jim’s. I would encourage anyone to call Jim and his team to find a real ally in the tough and complicated world of securities regulation. They are truly the best. Greg P. I just wanted to say thanks again for preparing and executing my case in such a professional manner. It was a pleasure to watch two professionals take such pride in their work, as well as becoming personally in tune with your client (Me). I would personally recommend you and your firm to anyone. John O. I have the best legal firm in the country to defend me. Awesome job! Cindy C. I cannot thank you enough for your efforts. You have proven to be a valuable resource Jim T. Thank you so very much for your guidance, patience, and expertise. Beth and Steve K. If the regulators are after you, and are trying to make a case against you, and you are going to contest their allegations against you, make sure you have the best securities industry defense lawyers, Eccleston Law Firm. My case was spun into a combination of penalties including fines, cash settlements, CE courses and suspension. They were the best I have seen in action. When all was said and done, they had done their magic, my situation was negotiated and settled with a simple "letter of caution" and a case closed without action. It is the most important legal business decision you will ever make, make it Eccleston Law. Rick R. Hiring Eccleston Law has been one of the best career decisions I have made and this "investment" to maintain my sterling regulatory record has been returned many times over. If you are in a situation where you've been unfairly accused, don't hesitate to talk with Eccleston Law. They are the best. Thomas C. Fantastic news!!!! Your professionalism, support and expertise were greatly appreciated. You made a difficult situation much more bearable. Marci M. I want to thank you for your excellent professional representation. It was greatly appreciated. Michael M. If you find yourself in trouble with the regulators, call Eccleston Law, you won't regret it. Rick R. You are the best attorneys in the country. CC I learned two important things working with Eccleston Law. First, I made a friend and ally with Jim and Steph for life. Secondly, and this is a crucial life lesson - if you need counsel, then seek out the very best. Jim was referred to me by a most trusted source. I've never had to hire an attorney for anything. Now, I know the value of hiring an important partner. Meticulous, thorough and detailed in preparation is the best way to describe Jim. Brilliant too, I might add. Bottom line, I would highly highly recommend Jim and Stephany for your legal needs. One of the best life decisions I've ever made. Howard S. I am so blessed to have you and your dynamic team defending me. Your ethics, forward thinking and strategies are amazing. You guys are the best group of attorneys in the country that I could hire to handle this complicated case. Cindy C. It was really fun seeing you fight for us. You have an amazing way of thinking out of the box. Beth M. You guys are good! Mike L. I just received this letter from the CFP Board. Thank you, Thank you, THANK YOU! David Y Thank You from the bottom of our hearts for all you have done for us. When we realized this was a very bad investment - we did not know where to turn for help. Then we received your name. When we called you - you were so kind to us and then agreed to help us. For this we are so very grateful. The world would be a much nicer place if there were more people like the two of you in it. We will always remember all the help and kindness you have shown us. Thank you so very very much for everything. Wayne and Judy S. I want to extend a tremendous thank you for your dedication, professionalism, hard work and patient demeanor through this challenging time. It was enjoyable interacting with everyone on your team, this certainly helped while dealing with the situation and working towards resolution. Dan M. Thank you for your professional assistance with this matter. You are very good at what you do. John T. LATEST NEWS AND ARTICLES January 17, 2024 LPL Financial to Pay $6 Million to Settle FINRA Charges Over Regulation Best Interest Lapses LPL Financial has agreed to pay over $6 million to settle charges by FINRA, alleging violations of Regulation Best Interest in recommending trades involving certain listed business development companies. Read More » January 16, 2024 Securities Lending Oversight Lapses Lead to FINRA Sanctions The Financial Industry Regulatory Authority Inc. (FINRA) recently concluded settlements totaling $2.6 million in fines and restitution with four mobile apps and online broker-dealers. Read More » January 15, 2024 WestPark Capital Representative Sanctioned for Unauthorized Private Transactions The Financial Industry Regulatory Authority (FINRA) has imposed a fine and suspension on Mitchell S. Morrison for engaging in private securities transactions without providing prior written notice to his affiliated firms. Read More » Chicago 55 West Monroe St. Suite 610 Chicago, Illinois, 60603 (312) 332-0000 (312) 332-0003 New York City One Liberty Plaza 165 Broadway, 23rd Floor New York, New York, 10006 (312) 332-0000 (312) 332-0003 Scottsdale 7702 E. Doubletree Ranch Rd. #300 Scottsdale, Arizona , 85258 (312) 332-0000 (312) 332-0003 2024 © Eccleston Law, LLC. All Rights Reserved. The law is continuously changing. Please do not rely on information found on this site without consulting a lawyer to determine if any recent changes in the law may have an impact.