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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

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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.