Eccleston Law: FPA of Illinois Lauds Eccleston's Presentation on What Advisors Should and Shouldn't do to Avoid Litigation

Posted on March 10th, 2011 at 9:00 AM
From the Winter 2011 Issue of Financial Planning Association of Illinois' Newsletter

Jim Eccleston kicked off the FPA of Illinois' Distinguished Speakers Series on January 28, 2011.  Warren Arnold, the Director of Education, Ethics & Professional Standards, discussed Jim's presentation:
 
Jim is an attorney who specializes in securities litigation. He has both defended and prosecuted financial advisors, as well as serve as an arbitrator for financial services disputes.  Jim spoke on what advisors should do and what they shouldn’t do in order to avoid litigation or arbitration situations.  He also gave ideas on what to do in order to defend yourself in case a suit is brought against you.  Jim used several examples from his practice to illustrate what can happen to an advisor. He used his humor to lighten up a very serious subject, which is important but not one that advisors like to talk about. The many questions that Jim received after his presentation was indicative of the level of interest the audience had for his presentation.

For more information, contact Jim Eccleston at 312-332-0000.

Related Attorneys: James J. Eccleston

Tags:

Return to Archive

TESTIMONIALS

Previous
Next

I am so blessed to have you and your dynamic team defending me. Your ethics, forward thinking and strategies are amazing.  You guys are the best group of attorneys in the country that I could hire to handle this complicated case.

Cindy C.

LATEST NEWS AND ARTICLES

November 5, 2024
LPL Financial Prepares for AML-Related SEC Settlement

LPL Financial has set aside $18 million in anticipation of settling an ongoing Securities and Exchange Commission (SEC) investigation into its anti-money laundering (AML) compliance program.

November 4, 2024
Pershing Fined $1.4 Million for Inaccurate Interest Rate Reporting

Pershing has been fined $1.4 million by FINRA for disseminating account documents with inaccurate interest rate information.

November 1, 2024
Former Advisor Barred by FINRA for Failing to Respond to Investigation

FINRA has permanently barred financial advisor Michael Charles Grande from working with any registered investment or advisory firms after he failed to cooperate with an investigation into his mutual fund recommendations.