Presentation by Attorneys of Eccleston Law at the FPA Suncoast Event was a Success

Posted on March 15th, 2016 at 11:00 AM
Presentation by Attorneys of Eccleston Law at the FPA Suncoast Event was a Success

On Friday, March 11, 2016, attorneys Kim Chavers and Jim Eccleston of Eccleston Law gave a speech called Salvaging a Bad Day to a packed audience of the Florida Suncoast Chapter of the Financial Planning Association (FPA) at the Sarasota Yacht Club in Sarasota, Florida.

Kim and Jim presented an insightful and informative discussion that covered topics regarding FINRA arbitration of employment and customer disputes, FINRA enforcement/disciplinary process, CFP Board disciplinary process, promissory note collection defense, and assistance with and defense against Florida state regulatory issues/actions.

Kim and Jim are honored to have had the opportunity to participate in this special and well attended event. 

The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities and employment matters. Our attorneys draw on a combined experience of nearly 65 years in delivering the highest quality legal services. If you are in need of legal services, contact us to schedule a one-on-one consultation today.

Related Attorneys: James J. Eccleston

Tags: Eccleston, Eccleston Law, Eccleston Law LLC, James Eccleston, FPA Suncoast,

Return to Archive



Jim, Stephany and the whole team were a God send.  We felt like we were put into a situation where we had no advocate. Jim’s team came in with a strong, well laid out strategy on how to get our story heard. Where our outside compliance company had no ability to help, our Broker Dealer was impenitent, and the regulators were aggressive pursuing vague rules, Jim came like a barricade against an assault we did not understand. Though you pay member dues to be affiliated with FINRA and a B/D, you have no voice. The only thing that is truly heard in this un-level playing field is a bulldog’s bark like Jim’s. I would encourage anyone to call Jim and his team to find a real ally in the tough and complicated world of securities regulation. They are truly the best.

Greg P.


February 22, 2024
Key Considerations for Advisors When Assessing the Financial Soundness of Annuities

While rating agencies like Fitch and S&P Global Ratings generally highlight the strength of annuity issuers, advisors still should scrutinize certain factors in their assessment process.

February 21, 2024
SEC Alleges Fraud Against Morgan Stanley and Former Executive in Block Trading Business

As reported by the Wall Street Journal, the Securities and Exchange Commission (SEC) has charged Morgan Stanley & Co. LLC and its former head of equity syndicate desk, Pawan Passi, with a multi-year fraud involving the disclosure of confidential information related to block trades.

February 20, 2024
Challenges Persist: Firms Struggle to Comply with Regulation Best Interest

FINRA's annual report for 2024 reveals a concerning trend among broker-dealers, with numerous instances of violations of Regulation Best Interest (Reg BI).