Strategic Consulting Services at Eccleston Law

The securities attorneys at Eccleston Law offer strategic consulting and counseling services for financial advisors. This includes strategic consulting for breakaway brokers who are transitioning to a new firm.

 

THE SECURITIES ATTORNEYS AT ECCLESTON LAW HELP BROKERS WITH:

Clients
Investments/Products
Their Firm
Industry trends affecting their business
Regulatory matters affecting their firm
Their managers, team members, and other sales and operations of compliance personnel

At Eccleston Law, our securities attorneys have extensive experience dealing with financial law matters and can provide quality legal advice for your situation. In addition to strategic consulting and counseling, the securities attorneys at Eccleston Law also practices areas including employment matters, regulatory matters, and whistleblower law. As a financial advisor, contact Eccleston Law if you're in need of strategic consulting and counseling.



 

 

 

TESTIMONIALS

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

Michael M.

LATEST NEWS AND ARTICLES

January 20, 2026
SEC Charges Three Advisors in Alleged Sale of Unregistered Oil and Gas Securities

The Securities and Exchange Commission (SEC) has charged three advisors and agents with selling millions of dollars in unregistered oil and gas securities to retail investors while failing to disclose conflicts of interest.

January 19, 2026
FINRA Study Warns of Declining Investor Participation and Rising Fraud Risks Among Younger Investors

A new study from FINRA’s Investor Education Foundation highlights troubling shifts in retail investing, including shrinking participation, heavier reliance on social media for advice, and growing vulnerability to fraud.

January 16, 2026
SEC Signals Sweeping IPO Rule Changes to Ease Path for Smaller Companies

The Securities and Exchange Commission (SEC) plans to overhaul its public offering framework to make it easier for smaller companies to access the public markets, according to remarks SEC Chairman Paul Atkins delivered at the New York Stock Exchange, as reported by Bloomberg Law.

TESTIMONIALS

Previous
Next

If you are being bothered by the Regulators, call Eccleston Law, you won't regret it.

Rick R.

LATEST NEWS AND ARTICLES

January 20, 2026
SEC Charges Three Advisors in Alleged Sale of Unregistered Oil and Gas Securities

The Securities and Exchange Commission (SEC) has charged three advisors and agents with selling millions of dollars in unregistered oil and gas securities to retail investors while failing to disclose conflicts of interest.

January 19, 2026
FINRA Study Warns of Declining Investor Participation and Rising Fraud Risks Among Younger Investors

A new study from FINRA’s Investor Education Foundation highlights troubling shifts in retail investing, including shrinking participation, heavier reliance on social media for advice, and growing vulnerability to fraud.

January 16, 2026
SEC Signals Sweeping IPO Rule Changes to Ease Path for Smaller Companies

The Securities and Exchange Commission (SEC) plans to overhaul its public offering framework to make it easier for smaller companies to access the public markets, according to remarks SEC Chairman Paul Atkins delivered at the New York Stock Exchange, as reported by Bloomberg Law.