Eccleston Law News and Updates

Eccleston Law Launches Search to Hire Additional Attorneys Nationwide

April 15th, 2021 at 12:37 PM
The needs of financial advisors for legal services never have been greater.  Advisors have come to realize that they cannot rely upon counsel provided by their firms, due to inherent conflicts of interest.
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Just Saying “No” to Firm-Provided and Conflicted Legal Counsel in Your Transition may avoid problems later

April 14th, 2021 at 3:55 PM
Our recently filed court case of Armstrong and Kiefner vs. Shumaker, Loop & Kendrick, and Michael Taaffe alleges behavior that financial advisors should be aware of in considering whether or not they should have agreed to be represented by legal counsel selected/referred by their new firm in connection with their employment transition.
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Affidavit of Merit Received in Eccleston Law’s $25 Million Legal Malpractice Action

April 1st, 2021 at 9:36 AM
Affidavit of Merit Received in Eccleston Law’s $25 Million Legal Malpractice Action On Behalf of Transitioning Morgan Stanley Advisors Who Retained Michael Taaffe and the Shumaker Loop Firm
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Jim Eccleston Awarded Prestigious Recognition

February 26th, 2021 at 9:13 AM
Jim Eccleston has recived the highest recognition by Martindal Hubbell! 
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CFP Board is the New Sheriff and it Is Not Your Friend

October 24th, 2020 at 10:04 AM
CFPs beware!  As CFP Board has become “a much more partisan organization that markets itself as a credentialing firm...and moves towards its politicization of personal financial planning” (Forbes 9/17/19), CFP Board is enforcing its rules and publicizing its discipline imposed like never before.
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Defending Against a Customer Complaint First Requires Selecting Correct Legal Counsel

October 15th, 2020 at 10:02 AM
Customer complaints and arbitration claims never are good news for financial advisors. But too often advisors go “from the frying pan to the fire” by agreeing to be represented by the legal counsel that their firm recommends or refers.
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GPB Capital Holdings: Special Alert for Your Clients Who Invested

October 3rd, 2020 at 9:58 AM
GPB Capital Holdings, LLC (“GPB Capital”) has come under intense scrutiny and regulatory accusations that it perpetrated a $1.8 billion Ponzi scheme in selling numerous GPB “Funds”.
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America’s Most Honored Lawyers for 2020

September 28th, 2020 at 9:03 AM
James Joseph Eccleston is one of America's Most Honored Lawyers for 2020. 
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James Joseph Eccleston 2020 AV Preeminent® Rating Judicial Edition

September 16th, 2020 at 12:37 PM
James Eccleston achieved the highest rating in both Legal Ability and Ethical Standards from Martindale Hubbell for 2020.
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James Eccleston Achieves Highest Rating in Both Legal Ability and Ethical Standards for 2020

July 8th, 2020 at 4:18 PM
James Eccleston achieved the highest rating in both Legal Ability and Ethical Standards from Martindale Hubbell for 2020. This is a reflection of the confidential opinions of members of the Bar and Judiciary.
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TESTIMONIALS

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You were most helpful with my FINRA deposition. You are a good lawyer and a good person.

Dan B.

LATEST NEWS AND ARTICLES

September 21, 2023
SEC Charges Private Equity Firm Over Fee Disclosure Failures to Affiliate

The Securities and Exchange Commission (SEC) has charged Prime Group Holdings LLC, a private equity firm specializing in alternative real estate asset investments, with
inadequate disclosure of millions of dollars in real estate brokerage fees paid to a brokerage firm owned by its CEO.

September 20, 2023
SEC Orders Legendary Capital Founder and REIT Advisors to Pay Nearly $5 Million

Corey Maple, co-founder of non-traded REIT sponsor Legendary Capital, has agreed to a $100,000 civil penalty to settle charges brought by the Securities and Exchange Commission (SEC).

September 19, 2023
Reg BI Violations Lead to FINRA's Fine on Another Broker-Dealer

The Financial Industry Regulatory Authority (FINRA) has fined and censured broker-dealer Network 1 Financial Securities and its chief compliance officer for violating Regulation Best Interest (Reg BI).