After earning a degree in Finance from Loyola University Chicago, Ms. McLaughlin worked in various capacities within the financial services industry at firms including RBC Wealth Management (d/b/a RBC Dain Rauscher), and Driehaus Capital Management, while attending Chicago-Kent College of Law. While at Chicago-Kent, Ms. McLaughlin concentrated in financial services law, was a CALI award winner and a Moot Court Competition Finalist.
Upon earning her law degree, Ms. McLaughlin joined the law firm of Shaheen, Novoselsky, Staat, Filipowski and Eccleston, P.C. in Chicago, IL where she successfully represented individual and institutional investors in arbitration proceedings, securing significant recuperation of their investment losses, as well as financial advisors in arbitration, regulatory and employment matters. Ms. McLaughlin went on to join the law offices of Kane & Fischer, Ltd. where she successfully represented top-tier financial services firms in employment, regulatory and related civil matters.
Coming full circle, Ms. McLaughlin has rejoined Mr. Eccleston at Eccleston Law Offices, LLC, bringing with her a breadth of industry knowledge as well as unique insight into the practices of the financial services firms. Like the other attorneys at Eccleston Law Offices, LLC, Ms. McLaughlin is passionate about her work and vigorously represents each client.
Ms. McLaughlin is a member of the Chicago Bar Association and the Public Investors Advocate Bar Association. When not practicing law, Ms. McLaughlin enjoys volunteering for the non-profit organization FORCE (a national, non-profit organization dedicated to supporting and educating those affected by hereditary breast and ovarian cancer).
We just wanted to say thanks for your work in helping us get back some of the money we lost. We are not by any means rich, but we have saved some money and we have done so through a tight-fisted approach to most everything we do. So losing a significant chunk of money hurt…especially at a time when everyone else was growing their accounts. We really appreciate the work you did.
Merrill Lynch has terminated Daniel G. Diaz, a 37-year industry veteran, for refusing to apply commission discounts to certain client accounts as instructed by management, according to his Central Registration Depository (CRD) record.
Roger A. Gallagher has accepted an industry bar from FINRA rather than cooperate with a regulatory investigation. According to a FINRA Acceptance, Waiver, and Consent letter (“AWC”).
The Securities and Exchange Commission (SEC) has finalized a cease-and-desist proceeding against Rosedale, a former SEC-registered investment adviser, for violations of the Investment Advisers Act of 1940.
