Eccleston Law News and Updates

Attorney Eccleston Receives America's Most Honored Lawyers Award

May 3rd, 2024 at 9:39 AM
James Eccleston has been recognized as one of America's Most Honored Lawyers by The American Registry. 
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Attorney Eccleston Receives AVVO Top Rated Lawyer Award 2024

May 1st, 2024 at 9:36 AM
 James Eccleston has been officially recognized as a Top Rated Lawyer by Martindale-AVVO.  
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Attorney Eccleston Receives Martindale-Hubbell 2024 Judicial Edition Recognition

March 25th, 2024 at 3:56 PM
Attorney James Eccleston recently received the highest possible Martindale-Hubbell AV rating in their 2024 Judicial Edition. 
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Chicago FINRA Arbitrators Award Ten Former Financial Advisors Over $3 Million For Forfeited Deferred Compensation Damages, Interest and Attorneys’ Fees

March 25th, 2024 at 9:17 AM
Ten former Morgan Stanley financial advisors have been awarded over $3 million related to the firm’s wrongful forfeiture of the advisors’ deferred compensation.
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Attorney Eccleston Quoted in Financial Advisor IQ Article

February 28th, 2024 at 3:15 PM
Jim Eccleston was recently quoted in a Financial Advisor IQ article concerning an ex-Hightower advisor suing to escape covenants.
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Attorney Eccleston Quoted in Barron's Article

November 1st, 2023 at 9:46 AM
Attorney Jim Eccleston was recently quoted in a Barron's Article on Goldman Sachs' intent to pursue arbitration after dozens of advisors left the firm following the announcement that its Personal Financial Management unit was being sold to Creative Planning. 
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Welcome Attorney Anthony Bingham

June 26th, 2023 at 9:47 AM
Eccleston Law, LLC is pleased to announce the addition of Attorney Anthony Bingham, expanding the firm’s practice representing financial advisors and investors to Arizona.
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RIAs Increasingly Rely on Non-Competes Borrowed From Broker-Dealers

December 22nd, 2022 at 12:15 PM
Registered investment advisory firms (RIAs) have borrowed a legal tactic from the broker-dealer space, as RIAs increasingly take defectors to court with allegations of non-compete clause violations, according to a recent article published by AdvisorHub. 
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Eccleston Law LLC Investigates Fallout at Firms Fined by the SEC Over Electronic Communications

December 16th, 2022 at 1:34 PM
The SEC charged several broker-dealers with failure to maintain and preserve electronic communications, including text messages, assessing over $1 billion in fines.  According to the SEC press release, “The firms admitted the facts set forth in their respective SEC orders, acknowledged that their conduct violated recordkeeping provisions of the federal securities laws, agreed to pay combined penalties of more than $1.1 billion, and have begun implementing improvements to their compliance policies and procedures to settle these matters.”
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Morgan Stanley Seeks to Send Brokers’ Deferred Comp Lawsuit to Arbitration

July 18th, 2022 at 3:33 PM
Morgan Stanley has asked a federal court to stay a proposed class action lawsuit related to its deferred compensation plan and compel 12 of its former brokers who filed the suit to arbitrate their claims.
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LATEST NEWS AND ARTICLES

November 27, 2024
Class Action Suits Target Major Banks Over Cash Sweep Programs

Wells Fargo, Merrill Lynch, and Morgan Stanley face class action lawsuits alleging they exploited cash sweep programs to generate “massive revenue” at clients' expense.

November 26, 2024
Arizona Revokes Advisor's License for Misrepresenting High-Risk GPB Capital Investments

The Arizona Corporation Commission has revoked the license of Scottsdale-based investment advisor representative Luke M. Johnson, who sold over $10 million in high-risk private placements by GPB Capital Holdings. 

November 25, 2024
Osaic Advisor Fined and Suspended for Submitting False Bank Statements

AdvisorHub recently reported that the Financial Industry Regulatory Authority (FINRA) has imposed a $5,000 fine and a two-month suspension on Kalomira Zangoulos, a former Osaic advisor in Sterling Heights, Michigan.