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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I am so blessed to have you and your dynamic team defending me. Your ethics, forward thinking and strategies are amazing.  You guys are the best group of attorneys in the country that I could hire to handle this complicated case.

Cindy C.





June 11, 2021
SEC Sues Estate of Deceased Real Estate Mogul for Ponzi-Like Real Estate Scheme

The Securities and Exchange Commission (SEC) filed suit against the Estate of Kenneth Casey for allegedly misappropriating $10 million from investors.

June 10, 2021
Northern Trust Faces Lawsuit Over “Poorly Performing” Target Date Funds

Current and former employees have filed an ERISA class-action suit against Northern Trust for allegedly adding “poorly performing” proprietary target date funds to its retirement plan.

June 9, 2021
SEC Files Suit Against Massachusetts LPL Financial Advisor Over Alleged Fraudulent Scheme

The Securities and Exchange Commission (SEC) filed suit against James Couture after the Massachusetts-based advisor allegedly misappropriated $2.9 million from his clients.