Financial Advisor Legal Services at Eccleston Law

The licensed and highly qualified securities lawyers of Eccleston Law counsel, represent and defend financial advisers nationwide in legal matters such as regulatory, compliance, disciplinary and employment through the use of arbitration and litigation.

Our team of reps at Eccleston Law have experience in representing investment advisors 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, counsel advisers as to how to transition successfully from firm to firm as well as how to negotiate the best possible agreements with their new firm.

The investment advisor reps of Eccleston Law also offer succession planning, buy-sell agreements, and other exit strategies as well as provides strategic consulting, practice transitions, mergers, acquisitions, and divestitures.

The securities lawyers at Eccleston Law assist financial advisors with:

Significant Victories of the Securities Lawyers at Eccleston Law

Granted zero dollars to the investor, the reps of Eccleston Law have shown expertise through multiple significant victories in the past. An example of a victory is when our securities lawyers defended an investment adviser and an accountant against claims that an investor had brought for unsuitable investments and conflicts of interest in which the arbitrator:

  • Ordered the investor to pay forum fees to the investment adviser.
  • Found that the case against the accountant was essentially frivolous.
  • Found the investor's expert to be unqualified to testify as an expert.

Another significant victory case is when the securities lawyers of Eccleston Law represented a broker in a wrongful termination and defamation action in which we convinced the arbitration panel to award $865,000 in compensatory damages plus removal of defamatory language from his publicly-available employment record (U-5).

The securities lawyers at Eccleston Law also represented a broker in a wrongful termination and defamation action in which we convinced the arbitration panel to award damages, to amend the broker's Form U-5, and to declare the outstanding promissory note balance null and void.

Other significant victories include when the reps of Eccleston Law proudly obtained the largest jury verdict ever (as of 1991) in Cook County, Illinois for a defamation and wrongful termination lawsuit for a business executive as well as helping transition and negotiate the deal for a large financial adviser team with over $10 million in annual gross production from one wirehouse to another wirehouse. When it comes to representing investment advisors, the expert reps of Eccleston Law will work with you and provide high-quality advice.

If you're an investment advisor in need of legal advice, contact Eccleston Law!