Simply stated, Eccleston Law is the best law firm nationwide to service the needs of financial advisors and investors in employment and securities matters. We represent financial advisors as well as investors, on both sides of the aisle. With offices in Boca Raton, Chicago, and New York City, we set ourselves apart from our competition having gained invaluable insight and knowledge of the securities industry through our team of highly experienced attorneys. Due to our experience and accomplishments, the skilled attorneys at Eccleston Law, as well as James Eccleston himself, have earned the highest awards and distinctions by both clients and peers.

FINRA Enforcement Matters

We can guide you through the process, assist you in preparing responses and defenses, and ensure the process proceeds as smoothly and quickly as possible.


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CFP Board Matters

We have valuable experience in representing financial advisors in investigations, complaints, and other disciplinary actions initiated by the CFP Board.


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Transition Negotiation

Have an experienced attorney from Eccleston Law on your side to review the contract terms that the firm’s lawyer has drafted to protect his/her one and only client – the firm.


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If the regulators are after you, and are trying to make a case against you, and you are going to contest their allegations against you, make sure you have the best securities industry defense lawyers, Eccleston Law Firm. My case was spun into a combination of penalties including fines, cash settlements, CE courses and suspension. They were the best I have seen in action. When all was said and done, they had done their magic, my situation was negotiated and settled with a simple "letter of caution" and a case closed without action. It is the most important legal business decision you will ever make, make it Eccleston Law.

Rick R.





April 20, 2021
FINRA Bars Former Goldman Sachs Banker After Expense Report Issues

Jared Ailstock was discharged from Goldman Sachs after he faced allegations of inaccurate business expense reimbursement reports.

April 19, 2021
SEC Obtains Emergency Asset Freeze Against Actor Operating a $690 Million Ponzi Scheme

The Securities and Exchange Commission (SEC)  has obtained an asset freeze and other emergency relief in an emergency enforcement action against actor Zachary Horwitz and his company "1inMM Capital, LLC (one in a million). 

April 16, 2021
Former LPL Advisor Suspended For Helping Customers Evade Fees

According to a recent FINRA AWC (Acceptance, Waiver and Consent), Raymond Velasco helped four customers avoid $10,000 in fees for surrendering variable annuities by misrepresenting their employment status on retirement plan documents.