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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Fantastic news!!!!  Your professionalism, support and expertise were greatly appreciated.  You made a difficult situation much more bearable.

Marci M.





May 14, 2021
FINRA Sanctions Former Morgan Stanley Advisor Over Alleged Expense Abuses

Lance Lienart, a 24-year industry veteran, was discharged from Morgan Stanley over concerns about inaccurate expense report filings.

May 13, 2021
Former Morgan Stanley Advisor Battling to Keep Deferred Compensation Suit in Court

Matthew Shafer filed a proposed class action targeting Morgan Stanley’s withholding of deferred compensation.

May 12, 2021
Former Cambridge Advisor Barred For Failing to Cooperate with FINRA

The Financial Industry Regulatory Authority (FINRA) has barred William Novack for failing to cooperate with FINRA after it launched an inquiry triggered by his termination from Cambridge.  Novack agreed to the bar as reflected in an Acceptance, Waiver and Consent (“AWC”).