Eccleston Law News and Updates

J.P. Morgan Seeks Restraining Order Against Advisor Who Left for Merrill

October 16th, 2018 at 10:40 AM
J.P. Morgan Securities is seeking a temporary restraining order against an advisor who defected for Merrill Lynch.
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Morgan’s protocol exit was ‘bait-and-switch,’ $660M team says in lawsuit

September 25th, 2018 at 3:13 PM
An ex-Morgan Stanley team is taking a unique approach to rebutting a lawsuit by their former employer: They’re going after the wirehouse’s decision to leave the Broker Protocol.
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SEI Hits Apex with Suit Over Non-Compete

July 25th, 2018 at 3:55 PM
SEI Investments has filed suit against Apex Fund Services and former SEI sales director John Lumley, who it claims violated a non-compete agreement by joining a direct rival. SEI is claiming breach of contract, breach of fiduciary duty, unfair competition, and interference with contractual relations.
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Broker Protocol Delivered Another Blow by Georgia Court Decision

July 10th, 2018 at 10:17 AM
A state appeals court decision in a Georgia case could make it harder for advisors looking to move to another firm to retain their clients.  
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James Eccleston joined the FPA of FL Board as the representative from the Suncoast chapter

April 18th, 2018 at 9:41 AM
James Eccleston has been chosen to join the Financial Planning Association of Florida’s Board of Directors as the representative from the Suncoast chapter.
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Ameriprise advisor is 'bad-mouthing' our brokers, JPMorgan claims in lawsuit

April 13th, 2018 at 3:30 PM
An ex-JPMorgan broker who jumped to Ameriprise Financial in December has transitioned about $25 million of the $160 million he oversaw while at the bank — and to stop him from moving more assets JPMorgan is asking a federal judge for a restraining order.
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James Eccleston 2018 Legal Leader

April 6th, 2018 at 3:46 PM
We are proud to celebrate James Eccleston’s 2018 Martindale-Hubbell AV Preeminent Rating.
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Avoid Guilt by Association

March 14th, 2018 at 2:33 PM
As an advisor, you relentlessly perform risk assessments for your clients’ portfolios. Yet, one aspect of risk assessment you may ignore is the downside of being an advisor with a clean compliance record who is tied to a broker dealer with problematic compliance and financials.
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Exclusive: UBS reverses non-solicit policy

February 28th, 2018 at 3:17 PM
UBS is making a course correction, replacing non-solicitation language that was recently introduced into some advisors' bonus agreements with new policies intended to mollify broker concerns, according to two people familiar with the matter.
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James Eccleston Selected Super Lawyer for 2018

February 1st, 2018 at 3:44 PM
We are pleased to announce that James Eccleston has been named a Super Lawyer for 2018.
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