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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TESTIMONIALS

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If you find yourself in trouble with the regulators, call Eccleston Law, you won't regret it.

Rick R.

LATEST NEWS AND ARTICLES

March 24, 2023
Heartland Bank & Trust Co. Agrees to $9 Million Settlement For Allegedly Aiding and Abetting a Ponzi Scheme

The Securities and Exchange Commission (SEC) has agreed to a $9 million settlement
with Heartland Bank & Trust Co. over the bank’s alleged role in aiding and abetting a $75
million Ponzi scheme.

March 23, 2023
Morgan Stanley Obtains TRO Against Pennsylvania LPL Advisor Over Inherited Accounts and Misrepresentations

A federal judge has awarded Morgan Stanley a temporary restraining order (TRO)
against a Pennsylvania-based advisor who recently departed for LPL Financial.

March 22, 2023
Sanford Bernstein & Co. and Alliance Bernstein Face FINRA Arbitration Claim Over Options Advantage Strategy

Sanford Bernstein & Co. and Alliance Bernstein (Bernstein) are facing what could be the first of several Financial Industry Regulatory Authority (FINRA) arbitration claims related to its Options Advantage Strategy.