THE ATTORNEYS OF ECCLESTON LAW OFFICES REPRESENT ADVISERS AND INVESTORS NATIONWIDE IN SECURITIES AND EMPLOYMENT MATTERS.

For advisers, we counsel, represent and defend advisers nationwide in regulatory, compliance, disciplinary and employment matters in arbitration, litigation, and before regulatory bodies such as the SEC, FINRA and state securities regulators. We frequently defend forgivable loan collection actions, prosecute Form U-5 defamation actions and counsel advisers as to how to transition successfully from firm to firm and negotiate the best possible agreements with their new firm. Our work with advisers sets us apart from our competition as we have gained insight and knowledge of the financial services industry and the respect of our lawyers nationwide on "both sides of the aisle." More...  

For investors, we represent individual and institutional investors to recover their investment losses caused by unsuitable investment recommendations, breach of fiduciary duty, negligence or other misconduct. We have extensive experience representing investors in arbitration and litigation disputes with securities broker-dealers and investment advisory firms, and have recovered tens of millions of dollars for investors.