Financial Broker Employment Transition

 The securities attorneys at Eccleston Law offer legal guidance for brokers and advisors who are seeking to go independent. If you are looking to become a "breakaway broker", we can help protect your interests and ensure an easy breakaway broker employment transition

LEGAL GUIDANCE FROM EXPERIENCED SECURITIES ATTORNEYS AT ECCLESTON LAW

At Eccleston Law, our experienced securities attorneys have provided financial legal advice and guidance for many large and small financial advisors. The broker employment transition services the securities attorneys at Eccleston Law offer include but are not limited to:

Transitions
Broker employment transition compliance services.
Registration
Registration of business entities necessary during transitions.
Strategy
Strategic consulting and legal guidance for transitions.
Negotiation
Negotiation of terms of the employment transition and forgivable loan agreements for new financial advisory firm
Defense
Defend financial advisors' interest and reputation during transition.

In addition to the legal services for financial advisors and broker-dealers listed above, our securities attorneys provide a variety of other financial broker legal services that minimize the risk of transitioning and also helps initiate a start-up business entity. If you are interested in learning more about how our experienced securities attorneys can help you, contact Eccleston Law to schedule a one-on-one consultation today.



 

 

 

TESTIMONIALS

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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.

LATEST NEWS AND ARTICLES

July 11, 2025
FINRA Advances Proposal to Allow Limited Use of Performance Projections

The Financial Industry Regulatory Authority (“FINRA”) is moving forward with a proposal that would give broker-dealers limited ability to market performance projections and targeted returns under specific conditions.

July 10, 2025
SEC Permanently Bars Brite Advisors USA Over Custody Rule Violations and Undisclosed Conflicts

The SEC has permanently barred Brite Advisors USA from operating as an investment adviser, citing serious custody rule violations and undisclosed conflicts of interest tied to its offshore affiliate, as reported by Financial Advisor News.

July 9, 2025
UBS Confirms Data Breach After Cyberattack on External Vendor

UBS Group AG has confirmed that a cyberattack on one of its third-party suppliers resulted in stolen company information, though no client data was compromised.

TESTIMONIALS

Previous
Next

I want to thank you for your excellent professional representation. It was greatly appreciated.

Michael M.

LATEST NEWS AND ARTICLES

July 11, 2025
FINRA Advances Proposal to Allow Limited Use of Performance Projections

The Financial Industry Regulatory Authority (“FINRA”) is moving forward with a proposal that would give broker-dealers limited ability to market performance projections and targeted returns under specific conditions.

July 10, 2025
SEC Permanently Bars Brite Advisors USA Over Custody Rule Violations and Undisclosed Conflicts

The SEC has permanently barred Brite Advisors USA from operating as an investment adviser, citing serious custody rule violations and undisclosed conflicts of interest tied to its offshore affiliate, as reported by Financial Advisor News.

July 9, 2025
UBS Confirms Data Breach After Cyberattack on External Vendor

UBS Group AG has confirmed that a cyberattack on one of its third-party suppliers resulted in stolen company information, though no client data was compromised.