Eccleston Law's Services in New York and New Jersey

Posted on June 3rd, 2014 at 4:57 PM

Eccleston Law Is Pleased To Provide the Following Services to NY / NJ Financial Advisers


Finally, a law firm that represents the needs of financial advisers in securities and financial services employment matters. Our services include the following:

  • FINRA, SEC and State Regulatory Defense
  • Independent Arbitration Defense to Protect Your Interests (not just your firm's interests)
  • Promissory Note (Forgivable Loan) Collection Defense
  • Employment Actions to Correct Defamatory Form U-5 Language and To Seek Damages for Wrongful Termination
  • State Registration Issues
  • Transition Planning, Consultation and Review / Negotiation of Employment Agreements
  • Succession Planning, Mergers and Acquisitions

Eccleston Law represents financial advisers nationally, with offices in New York City, Chicago and Sarasota, Florida. If you are in New York or New Jersey, feel free to contact Attorney Christine Goodrich at 917-675-7582. For further information regarding Christine Goodrich, our other attorneys and our practice areas, visit


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Jim, Stephany and the whole team were a God send.  We felt like we were put into a situation where we had no advocate. Jim’s team came in with a strong, well laid out strategy on how to get our story heard. Where our outside compliance company had no ability to help, our Broker Dealer was impenitent, and the regulators were aggressive pursuing vague rules, Jim came like a barricade against an assault we did not understand. Though you pay member dues to be affiliated with FINRA and a B/D, you have no voice. The only thing that is truly heard in this un-level playing field is a bulldog’s bark like Jim’s. I would encourage anyone to call Jim and his team to find a real ally in the tough and complicated world of securities regulation. They are truly the best.

Greg P.


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