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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I cannot thank you enough for your guidance. It's a good feeling knowing someone is fighting for you.

Matt J.

LATEST NEWS AND ARTICLES

August 29, 2025
FINRA's 2025 Industry Snapshot Highlights

The Financial Industry Regulatory Authority’s (FINRA) has published its 2025 Industry Snapshot. The Snapshot provides a detailed view of its member firms, registered representatives, and trading activity, revealing both consolidation in the industry and shifts in business models.

August 28, 2025
Former Raymond James Advisor Barred by FINRA Over Misappropriation Probe

The Financial Industry Regulatory Authority (FINRA) has permanently barred former Raymond James financial advisor Meredith Archer Webber after she failed to comply with repeated requests for documents and testimony during an investigation into the possible misappropriation of funds from two elderly clients, according to ThinkAdvisor.

August 27, 2025
SEC Fines American Portfolios Advisors $1.75 Million for Overbilling and Undisclosed Conflicts

The Securities and Exchange Commission (SEC) has fined American Portfolios Advisors $1.75 million for a series of violations that occurred between August 2020 and March 2023, including overbilling advisory clients and failing to disclose conflicts of interest tied to compensation arrangements.

TESTIMONIALS

Previous
Next

You were most helpful with my FINRA deposition. You are a good lawyer and a good person.

Dan B.

LATEST NEWS AND ARTICLES

August 29, 2025
FINRA's 2025 Industry Snapshot Highlights

The Financial Industry Regulatory Authority’s (FINRA) has published its 2025 Industry Snapshot. The Snapshot provides a detailed view of its member firms, registered representatives, and trading activity, revealing both consolidation in the industry and shifts in business models.

August 28, 2025
Former Raymond James Advisor Barred by FINRA Over Misappropriation Probe

The Financial Industry Regulatory Authority (FINRA) has permanently barred former Raymond James financial advisor Meredith Archer Webber after she failed to comply with repeated requests for documents and testimony during an investigation into the possible misappropriation of funds from two elderly clients, according to ThinkAdvisor.

August 27, 2025
SEC Fines American Portfolios Advisors $1.75 Million for Overbilling and Undisclosed Conflicts

The Securities and Exchange Commission (SEC) has fined American Portfolios Advisors $1.75 million for a series of violations that occurred between August 2020 and March 2023, including overbilling advisory clients and failing to disclose conflicts of interest tied to compensation arrangements.