The licensed and highly qualified securities attorneys of Eccleston Law counsel, represent and defend financial advisors nationwide in legal matters such as regulatory, compliance, disciplinary and employment through the use of arbitration and litigation. Our securities attorneys have years and years experience in representing financial 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 financial advisors as to how to transition successfully from firm to firm. Our securities attorneys also offer other legal services for financial advisors including succession planning, buy-sell agreements, other exit strategies, strategic consulting, practice transitions, mergers, acquisitions, and divestitures.
The securities attorneys at Eccleston Law assist financial advisors with:
The securities attorneys at Eccleston Law have the knowledge and expertise within the financial industry to provide top quality broker litigation and arbitration.
Significant Victories of the Securities Attorneys at Eccleston Law
Granted zero dollars to the investor, the financial advisor reps of Eccleston Law have shown expertise through multiple significant victories in the past. For example, our securities attorneys defended a financial advisor 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 advisor.
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 attorneys 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 attorneys 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 securities attorneys 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 advisor team with over $10 million in annual gross production from one wirehouse to another wirehouse. When it comes to representing financial advisors, the expert securities attorneys of Eccleston Law will work with you and provide high-quality advice.
Are you a financial advisor in need of legal advice from an experienced securities attorney?