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ATTORNEYS FOR THE FINANCIAL SERVICES INDUSTRY

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 Chicago, and New York City, and Scottsdale, 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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TESTIMONIALS

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Thank You from the bottom of our hearts for all you have done for us. When we realized this was a very bad investment - we did not know where to turn for help. Then we received your name. When we called you - you were so kind to us and then agreed to help us. For this we are so very grateful. The world would be a much nicer place if there were more people like the two of you in it. We will always remember all the help and kindness you have shown us. Thank you so very very much for everything.

Wayne and Judy S.

LATEST NEWS AND ARTICLES

1790008446 Law
September 21, 2026
Blackstone Limits Withdrawals From Blackstone Private Credit Fund

Blackstone's flagship private credit fund faces continued pressure from investors seeking liquidity.

1789752835 Law
September 18, 2026
SEC Sanctions Investment Adviser and Executive for Disproportionate Trade Allocations

The Securities and Exchange Commission (SEC) has determined that the conduct of registered investment advisory firm Barrington Asset Management, and its executive vice-president and chief compliance officer, Gregory Paris, disadvantaged clients and breached their fiduciary duties owed to clients.

1789665543 Law
September 17, 2026
SEC Charges 38 Entities Over Allegedly Fraudulent Adviser Filings

The Securities and Exchange Commission (SEC) charged 38 entities with allegedly making material misrepresentations in Forms ADV filed with the SEC between 2025 and 2026.