Broker Litigation & Arbitration at Eccleston Law

 The securities attorneys at Eccleston Law provide broker litigation and arbitration services. Our securities attorneys have extensive experience in defending financial advisors nationwide before the Financial Industry Regulatory Authority (FINRA) in arbitration and enforcement actions, state securities regulators, and the CFP Board. 

THE SECURITIES ATTORNEYS AT ECCLESTON LAW HAVE ASSISTED FINANCIAL ADVISORS WITH:

At Eccleston Law, we have the knowledge and expertise within the financial industry to provide top quality broker litigation and arbitration. Our securities attorneys are also experienced in dealing with a variety of other financial law matters including breakaway broker services, strategic consulting and counseling, regulatory matters, employment matters, whistleblower actions, expungement of CRD/BrokerCheck disclosures such as customer complaints and criminal matters.

Customer Arbitration
Finding solutions for disputes between customers and businesses and taking disciplinary action as needed.
FINRA Enforcement/ Disciplinary Inquiries and Actions
Investigating potential securities violations and bringing formal disciplinary action when needed.
State Registration Inquiries and Actions
Making and resolving inquiries at a state level for a variety of broker litigation matters.
CFP Board Inquiries and Actions
Request documents, information and admissions as needed to take action related to CFP Boards and Commissions.

Contact the securities attorneys at Eccleston Law to schedule a telephone conference about your case today.

Attorneys are standing by during regular business hours. Call us now for immediate service, or complete the form below and we will contact you as soon as possible.

 

 

 

TESTIMONIALS

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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.

LATEST NEWS AND ARTICLES

December 22, 2025
FINRA Overhauls Arbitration Rules to Rebalance Arbitrator Selection and Codify Forum Practices

The Financial Industry Regulatory Authority (FINRA) has approved significant amendments to its Codes of Arbitration Procedure designed to rebalance public arbitrator selection, increase transparency, and formalize several long-standing practices in the arbitration forum.

December 19, 2025
Industry Groups Press Senate at Advance Financial Exploitation Prevention Act

Several industry associations are urging the U.S. Senate to pass the Financial Exploitation Prevention Act, legislation that would allow mutual fund companies and their transfer agents to delay redemptions when they reasonably suspect elder financial abuse.

December 18, 2025
UBS Warns of Rising Default Risk in Private Credit

A UBS report signals that credit stress likely will intensify next year as borrowers confront inflation, elevated interest costs, and softening consumer conditions.

TESTIMONIALS

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If you find yourself in trouble with the regulators, call Eccleston Law, you won't regret it.

Rick R.

LATEST NEWS AND ARTICLES

December 22, 2025
FINRA Overhauls Arbitration Rules to Rebalance Arbitrator Selection and Codify Forum Practices

The Financial Industry Regulatory Authority (FINRA) has approved significant amendments to its Codes of Arbitration Procedure designed to rebalance public arbitrator selection, increase transparency, and formalize several long-standing practices in the arbitration forum.

December 19, 2025
Industry Groups Press Senate at Advance Financial Exploitation Prevention Act

Several industry associations are urging the U.S. Senate to pass the Financial Exploitation Prevention Act, legislation that would allow mutual fund companies and their transfer agents to delay redemptions when they reasonably suspect elder financial abuse.

December 18, 2025
UBS Warns of Rising Default Risk in Private Credit

A UBS report signals that credit stress likely will intensify next year as borrowers confront inflation, elevated interest costs, and softening consumer conditions.