Adviser Wins Care Brought by SEC

Posted on July 2nd, 2015 at 10:16 AM
Adviser Wins Care Brought by SEC

From the Desk of Jim Eccleston at Eccleston Law LLC:

A houston-based firm has won a rare victory against the SEC in a case focused on advisers, accepting payments from brokerage firms.

The SEC judge dismissed the allegations that the firm continued fraud by not sufficiently disclosing a financial relationship with Fidelity Investments. Fedelity had paid the firm to distribute third-party funds.

The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities and employment matters. Our attorneys draw on a combined experience of nearly 65 years in delivering the highest quality legal services.

Related Attorneys: James J. Eccleston

Tags: Eccleston Law LLC, James Eccleston, eccleston, Eccleston Law, fraud, SEC, Securities Exchange Commission

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I just wanted to say thanks again for preparing and executing my case in such a professional manner. It was a pleasure to watch two professionals take such pride in their work, as well as becoming personally in tune with your client (Me). I would personally recommend you and your firm to anyone.

John O.

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