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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We just wanted to say thanks for your work in helping us get back some of the money we lost. We are not by any means rich, but we have saved some money and we have done so through a tight-fisted approach to most everything we do. So losing a significant chunk of money hurt…especially at a time when everyone else was growing their accounts. We really appreciate the work you did.

Allan and Adele





June 15, 2021
Former Cetera Advisor Receives Prison Sentence for Defrauding Clients

An ex-Cetera advisor has received a five-year federal prison sentence after being convicted on six counts of wire fraud and two counts of bank fraud.

June 15, 2021
Edward Jones Discharges Financial Advisor For Violating Covid Protocol

Edward Jones fired Chad Klassen in April for “failure to follow firm Covid policy”, according to a U-5 termination filing

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.