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 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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Case Results

$123
million
Category Verdict
$123
million
Category Verdict
$123
million
Category Verdict
$123
million
Category Verdict

TESTIMONIALS

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You guys are good!

Mike L.

LATEST NEWS AND ARTICLES

September 16, 2021
FINRA Suspends Former Wells Advisor Over Outside Brokerage Accounts

The Financial Industry Regulatory Authority (FINRA) has suspended a former Wells Fargo advisor for three months and issued a fine of $2,500 for allegedly failing to disclose personal outside brokerage accounts to the firm.

September 15, 2021
Court Approves $54 Million Settlement Between Comerica and Ponzi Scheme Investors

A California federal judge has initially approved a $54.2 million agreement between Comerica Bank and a class of about 8,000 investors, who accused the bank of abetting a Ponzi scheme by Woodbridge Group. Nearly 61% of the class are members of the Woodbridge Liquidation Trust while the rest are individual investors, according to the motion for approval.

September 14, 2021
Former Merrill Advisor Barred by FINRA For Failure to Cooperate in COVID Relief Loan Investigation

The Financial Industry Regulatory Authority (FINRA) has barred a former Merrill Lynch advisor who failed to cooperate with a probe revolving around his application for a COVID relief loan.