Attorney James Eccleston and Attorney Christine Goodrich Selected to Update Broker-Dealer Law Developments for Practical Compliance and Risk Management Journal

Posted on October 10th, 2013 at 9:57 AM

Jim Eccleston and Christine Goodrich have been selected to write the annual update on broker-dealer law for the bi-monthly journal, “Practical Compliance and Risk Management.” This publication features articles and advice written by some of the top names in the field.

Eccleston and Goodrich’s first article was titled “An Analysis of the Potential Impact of a Uniform Fiduciary Standard Upon Broker-Dealers, Registered Investment Advisers, and Dually-Registered Advisers,“ and was published in the May 2013 Journal.  Jim Eccleston also wrote a piece entitled, “Unintended Consequences, The Protocol That Binds”, which appeared in the March-April  2009 issue of Practical Compliance and Risk Management, and which discussed the Protocol for Broker Recruiting.

Practical Compliance and Risk Management is published by Wolters Kluwer Financial Services.

Related Attorneys: James J. Eccleston


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I learned two important things working with Eccleston Law. First, I made a friend and ally with Jim and Steph for life. Secondly, and this is a crucial life lesson - if you need counsel, then seek out the very best. Jim was referred to me by a most trusted source. I've never had to hire an attorney for anything. Now, I know the value of hiring an important partner. Meticulous, thorough and detailed in preparation is the best way to describe Jim. Brilliant too, I might add. Bottom line, I would highly highly recommend Jim and Stephany for your legal needs. One of the best life decisions I've ever made.

Howard S.


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