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Securities Attorneys for Whistleblower Law

The securities attorneys at Eccleston Law represent financial advisors who seek to file whistleblower actions. Whistleblower filings typically involve representation for employees who report illegal misconduct by their employers. At Eccleston Law, our securities attorneys assist with the filing and maintain the confidentiality of the individual filing the claim in New York, Chicago, Florida, and all states nationwide.

 

A FEW TYPES OF WHISTLEBLOWER CASES THE SECURITIES ATTORNEYS AT ECCLESTON LAW PROVIDE PROTECTION FOR INCLUDE:

Stocks, Bonds, and Banking Fraud
Securities Fraud
SEC Fraud
Tax Fraud
Investment Fraud
Mortgage and Loan Fraud

In addition to whistleblower filings, the securities attorneys at Eccleston Law also practice a wide range of other areas in the financial services industry including broker litigation and arbitration, employment matters, breakaway broker legal services, and much more. If you need a securities attorney to file a whistleblower claim, contact Eccleston Law to schedule a telephone conference today.



 

 

 

TESTIMONIALS

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I just received this letter from the CFP Board. Thank you, Thank you, THANK YOU!

David Y

LATEST NEWS AND ARTICLES

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?The Financial Industry Regulatory Authority (FINRA?) barred Buddy Dean Mason, a former LPL Financial broker in Lakeland, Florida, after he refused to provide documents and information during an investigation into a customer complaint involving an alleged outside investment.

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FINRA Panel Orders Kingswood Capital Partners and Executives to Pay Former Advisor $11.3 Million

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TESTIMONIALS

Previous
Next
Quotes Bigger

As a financial advisor with over 20 years of experience, I feel fortunate to call Jim my attorney and friend. He is a fantastic lawyer and trusted advisor. He is skilled in the matters necessary to do the job well. He uses his thoughtful approach and calm demeanor to achieve a positive outcome for the client. If you want to feel confident that nothing will be missed and that you will be represented in a highly professional manner, call Jim Eccleston.

Bill C. and Dan M.

LATEST NEWS AND ARTICLES

1793294906 Law
October 29, 2026
FINRA Bars Former LPL Financial Broker for Refusing to Cooperate With Investigation

?The Financial Industry Regulatory Authority (FINRA?) barred Buddy Dean Mason, a former LPL Financial broker in Lakeland, Florida, after he refused to provide documents and information during an investigation into a customer complaint involving an alleged outside investment.

1793209405 Law
October 28, 2026
FINRA Panel Orders Kingswood Capital Partners and Executives to Pay Former Advisor $11.3 Million

A Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered Kingswood Capital Partners LLC, CEO Michael Nessim, and Chief Compliance Officer Mohamed Alsoraimi to pay former advisor Rikin Patel $11,341,369.25.

1793123026 Law
October 27, 2026
CFTC Seeks Public Comment on Proposed Crypto Asset Regulatory Framework

The Commodity Futures Trading Commission (CFTC) has issued an Advanced Notice of Proposed Rulemaking (ANPRM) seeking public comment on a potential regulatory framework for retail commodity transactions involving crypto assets, which the agency calls "CTXs." According to the CFTC's press release, the initiative focuses on Section 2(c)(2)(D) of th...