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.


 Find Out More


CFP Board Matters

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


 Find Out More


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.


 Find Out More








You guys are good!

Mike L.





August 4, 2021
Alternative Investment Sales Expected to Double in 2021

Alternative investment sales, such as nontraded real estate investment trusts (REITs) and business development companies (BDCs), have increased drastically in 2021, according to InvestmentNews.

August 3, 2021
Former Wells Fargo Advisor Wrongfully Applied for SBA Loan, FINRA Alleges

The Financial Industry Regulatory Authority (FINRA) has fined ex-Wells Fargo advisor, Kenric Sexton, $2,500 and suspended him for one month.

August 2, 2021
FINRA CEO Announces New Exam Sweeps Coming Soon

Financial Industry Regulatory Authority (FINRA) president and CEO, Robert Cook, has revealed plans for upcoming sweeps targeting options account opening, special-purpose acquisition companies (SPACs) and “Finfluencers”.