Eccleston Law News and Updates

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.
Read More

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
Read More

Jim Eccleston Awarded Prestigious Recognition

February 26th, 2021 at 9:13 AM
Jim Eccleston has recived the highest recognition by Martindal Hubbell! 
Read More

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.
Read More

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.
Read More

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”.
Read More

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. 
Read More

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.
Read More

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.
Read More

James Eccleston Achieves Highest Rating in Both Legal Ability and Ethical Standards for 2020

April 20th, 2020 at 3:47 PM
James Eccleston achieved the highest rating in both Legal Ability and Ethical Standards from Martindale Hubbell for 2020.
Read More

TESTIMONIALS

Previous
Next

I am so glad I found you! Wow! I appreciate your help, concern and guidance.

RB

LATEST NEWS AND ARTICLES

June 9, 2023
Retrospective Review Deadline Approaching

The deadline for completing the initial retrospective review required by the Department of Labor (DOL) is quickly approaching.

June 8, 2023
Former David Lerner Branch Manager Receives FINRA Sanctions for Supervisory Lapses

The Financial Industry Regulatory Authority (FINRA) imposed a one-month suspension and a $5,000 fine on former David Lerner Associates branch manager Rande Aaronson.

June 7, 2023
SEC Files Fraud Charges Against Financial Advisor for Exploiting Elderly Clients

The Securities and Exchange Commission (SEC) has charged Douglas McKelvey, a former Morgan Stanley financial advisor, with fraud for misappropriating more than $1.7 million from two elderly customers who were his close relatives.