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


Return to Archive



Thank you so very much for your guidance, patience, and expertise.

Beth and Steve K.


June 14, 2024
Wells Fargo Fires Employees for Faking Work

Wells Fargo & Co. recently terminated over a dozen employees following an investigation into allegations of fake work activities.

June 13, 2024
FINRA Struggles to Revise Outside Business Rules

The Financial Industry Regulatory Authority’s (FINRA) attempt to update its rules on advisors’ outside business activities has stalled, according to Robert Colby, FINRA's chief legal officer.

June 12, 2024
Tax Court Denies Madoff Victims $8.2 Million Deduction

Victims of Bernie Madoff's Ponzi scheme, Christopher and Silvana Pascucci, cannot claim an $8.2 million tax deduction for their investment in life insurance premiums.