Employment Attorneys at Eccleston Law

 Financial advisors frequently face employment issues and concerns. Employment matters can impact compensation, future opportunities, and overall professional reputation in the financial industry. The employment attorneys at Eccleston Law represent financial advisors for a variety of different employment matters nationwide with offices nationwide.

 

Employment with Financial Advisors

The employment attorneys at Eccleston Law represent financial advisors for matters including but not limited to:

Form U-5 Defamation
Employment Termination
Promissory Note Collection Defense
Employment Disputes

It's important to work with securities lawyers who have experience in providing representation for employment matters in the financial industry. At Eccleston Law, our securities lawyers also practice a variety of other areas of securities for financial advisors including breakaway broker services, strategic consulting and counseling, broker litigation and arbitration, regulatory matters, whistleblower actions, and much more. If you are a financial advisor and need a securities lawyer for employment matters, contact Eccleston Law to schedule a telephone conference today.



 

 

 

TESTIMONIALS

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It was really fun seeing you fight for us. You have an amazing way of thinking out of the box.


 

Beth M.

LATEST NEWS AND ARTICLES

November 24, 2025
Kyle Busch Alleges Considerable Losses in Indexed Universal Life (IUL) Scheme

Kyle Busch, a two-time NASCAR Cup Series champion, and his wife Samantha announced that they lost more than $8.6 million in what they describe as a “devastating financial scheme” involving an Indexed Universal Life (IUL) insurance policy.

November 21, 2025
FINRA Fines Independent Financial Group for Allowing Suspended Broker to Place Trades

The Financial Industry Regulatory Authority (FINRA) issued a censure and $100,000 fine against Independent Financial Group (IFG) after finding that the IFG allowed a suspended and statutorily disqualified broker to continue placing trades.

November 20, 2025
Supreme Alliance Fined for Failure to Supervise Variable Annuity Sales

The Financial Industry Regulatory Authority (FINRA) has fined Supreme Alliance $80,000 for failing to supervise recommendations and exchanges involving deferred variable annuities, as well as for failing to document background checks for newly hired registered representatives.

TESTIMONIALS

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If you are being bothered by the Regulators, call Eccleston Law, you won't regret it.

Rick R.

LATEST NEWS AND ARTICLES

November 24, 2025
Kyle Busch Alleges Considerable Losses in Indexed Universal Life (IUL) Scheme

Kyle Busch, a two-time NASCAR Cup Series champion, and his wife Samantha announced that they lost more than $8.6 million in what they describe as a “devastating financial scheme” involving an Indexed Universal Life (IUL) insurance policy.

November 21, 2025
FINRA Fines Independent Financial Group for Allowing Suspended Broker to Place Trades

The Financial Industry Regulatory Authority (FINRA) issued a censure and $100,000 fine against Independent Financial Group (IFG) after finding that the IFG allowed a suspended and statutorily disqualified broker to continue placing trades.

November 20, 2025
Supreme Alliance Fined for Failure to Supervise Variable Annuity Sales

The Financial Industry Regulatory Authority (FINRA) has fined Supreme Alliance $80,000 for failing to supervise recommendations and exchanges involving deferred variable annuities, as well as for failing to document background checks for newly hired registered representatives.