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.

PROPRIETARY PRODUCT CONCERNS

 

 

 

TESTIMONIALS

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I want to thank you for your excellent professional representation. It was greatly appreciated.

Michael M.

LATEST NEWS AND ARTICLES

June 9, 2023
Retrospective Review Deadline Approaching

The deadline for completing the initial retrospective review required by the Department of Labor (DOL) is quickly approaching.

June 8, 2023
Former David Lerner Branch Manager Receives FINRA Sanctions for Supervisory Lapses

The Financial Industry Regulatory Authority (FINRA) imposed a one-month suspension and a $5,000 fine on former David Lerner Associates branch manager Rande Aaronson.

June 7, 2023
SEC Files Fraud Charges Against Financial Advisor for Exploiting Elderly Clients

The Securities and Exchange Commission (SEC) has charged Douglas McKelvey, a former Morgan Stanley financial advisor, with fraud for misappropriating more than $1.7 million from two elderly customers who were his close relatives.

TESTIMONIALS

Previous
Next

Thank you for your professional assistance with this matter. You are very good at what you do.

John T.

LATEST NEWS AND ARTICLES

June 9, 2023
Retrospective Review Deadline Approaching

The deadline for completing the initial retrospective review required by the Department of Labor (DOL) is quickly approaching.

June 8, 2023
Former David Lerner Branch Manager Receives FINRA Sanctions for Supervisory Lapses

The Financial Industry Regulatory Authority (FINRA) imposed a one-month suspension and a $5,000 fine on former David Lerner Associates branch manager Rande Aaronson.

June 7, 2023
SEC Files Fraud Charges Against Financial Advisor for Exploiting Elderly Clients

The Securities and Exchange Commission (SEC) has charged Douglas McKelvey, a former Morgan Stanley financial advisor, with fraud for misappropriating more than $1.7 million from two elderly customers who were his close relatives.