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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As a financial advisor with over 20 years of experience, I feel fortunate to call Jim my attorney and friend. He is a fantastic lawyer and trusted advisor. He is skilled in the matters necessary to do the job well. He uses his thoughtful approach and calm demeanor to achieve a positive outcome for the client. If you want to feel confident that nothing will be missed and that you will be represented in a highly professional manner, call Jim Eccleston.

Bill C. and Dan M.

LATEST NEWS AND ARTICLES

June 9, 2023
Retrospective Review Deadline Approaching

The deadline for completing the initial retrospective review required by the Department of Labor (DOL) is quickly approaching.

June 8, 2023
Former David Lerner Branch Manager Receives FINRA Sanctions for Supervisory Lapses

The Financial Industry Regulatory Authority (FINRA) imposed a one-month suspension and a $5,000 fine on former David Lerner Associates branch manager Rande Aaronson.

June 7, 2023
SEC Files Fraud Charges Against Financial Advisor for Exploiting Elderly Clients

The Securities and Exchange Commission (SEC) has charged Douglas McKelvey, a former Morgan Stanley financial advisor, with fraud for misappropriating more than $1.7 million from two elderly customers who were his close relatives.