
A retiree has filed a lawsuit accusing Charles Schwab & Co. and Hightower Advisors of financial elder abuse, fraud, and breach of fiduciary duty.
The employment attorneys at Eccleston Law represent financial advisors for matters including but not limited to:
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.
I have the best legal firm in the country to defend me. Awesome job!
You guys are good!
If you are being bothered by the Regulators, call Eccleston Law, you won't regret it.
You were most helpful with my FINRA deposition. You are a good lawyer and a good person.
If you find yourself in trouble with the regulators, call Eccleston Law, you won't regret it.
I want to thank you for your excellent professional representation. It was greatly appreciated.
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.
If the regulators are after you, and are trying to make a case against you, and you are going to contest their allegations against you, make sure you have the best securities industry defense lawyers, Eccleston Law Firm. My case was spun into a combination of penalties including fines, cash settlements, CE courses and suspension. They were the best I have seen in action. When all was said and done, they had done their magic, my situation was negotiated and settled with a simple "letter of caution" and a case closed without action. It is the most important legal business decision you will ever make, make it Eccleston Law.
You are the best attorneys in the country.
I am so blessed to have you and your dynamic team defending me. Your ethics, forward thinking and strategies are amazing. You guys are the best group of attorneys in the country that I could hire to handle this complicated case.
The work that you and your team have performed on my behalf is exemplary.
I want to extend a tremendous thank you for your dedication, professionalism, hard work and patient demeanor through this challenging time. It was enjoyable interacting with everyone on your team, this certainly helped while dealing with the situation and working towards resolution.
I am grateful to have found an outstanding law firm that specializes in securities matters. My lawyers were extremely knowledgeable, diligent, and are skilled litigators. No stone was left upturned. As a result of their experience and tenacity, the arbitration proceeding was dismissed in my favor.
As a financial advisor with over 20 years of experience, I feel fortunate to call Jim my attorney and friend. He is a fantastic lawyer and trusted advisor. He is skilled in the matters necessary to do the job well. He uses his thoughtful approach and calm demeanor to achieve a positive outcome for the client. If you want to feel confident that nothing will be missed and that you will be represented in a highly professional manner, call Jim Eccleston.
That is just fantastic! Thank you very much!
It was really fun seeing you fight for us. You have an amazing way of thinking out of the box.
Thank you for your professional assistance with this matter. You are very good at what you do.
I just wanted to say thanks again for preparing and executing my case in such a professional manner. It was a pleasure to watch two professionals take such pride in their work, as well as becoming personally in tune with your client (Me). I would personally recommend you and your firm to anyone.
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.
Thank you so very much for your guidance, patience, and expertise.
I just received this letter from the CFP Board. Thank you, Thank you, THANK YOU!
I learned two important things working with Eccleston Law. First, I made a friend and ally with Jim and Steph for life. Secondly, and this is a crucial life lesson - if you need counsel, then seek out the very best. Jim was referred to me by a most trusted source. I've never had to hire an attorney for anything. Now, I know the value of hiring an important partner. Meticulous, thorough and detailed in preparation is the best way to describe Jim. Brilliant too, I might add. Bottom line, I would highly highly recommend Jim and Stephany for your legal needs. One of the best life decisions I've ever made.
Fantastic news!!!! Your professionalism, support and expertise were greatly appreciated. You made a difficult situation much more bearable.
Hiring Eccleston Law has been one of the best career decisions I have made and this "investment" to maintain my sterling regulatory record has been returned many times over. If you are in a situation where you've been unfairly accused, don't hesitate to talk with Eccleston Law. They are the best.
I cannot thank you enough for your efforts. You have proven to be a valuable resource
I am so glad I found you! Wow! I appreciate your help, concern and guidance.
This was the best of all possible outcomes and I cannot thank you and the team enough.
Thank You from the bottom of our hearts for all you have done for us. When we realized this was a very bad investment - we did not know where to turn for help. Then we received your name. When we called you - you were so kind to us and then agreed to help us. For
A retiree has filed a lawsuit accusing Charles Schwab & Co. and Hightower Advisors of financial elder abuse, fraud, and breach of fiduciary duty.
The Financial Industry Regulatory Authority (FINRA) has suspended and fined a former advisor for what FINRA alleged were excessively risky investments that left clients exposed to significant losses.
UBS Wealth Management USA has filed a petition in federal court to vacate a nearly $95 million FINRA arbitration award, arguing the decision overstepped legal bounds and imposed punitive damages that defy Iowa law, as reported by AdvisorHub.
If you find yourself in trouble with the regulators, call Eccleston Law, you won't regret it.
Thank You from the bottom of our hearts for all you have done for us. When we realized this was a very bad investment - we did not know where to turn for help. Then we received your name. When we called you - you were so kind to us and then agreed to help us. For
As a financial advisor with over 20 years of experience, I feel fortunate to call Jim my attorney and friend. He is a fantastic lawyer and trusted advisor. He is skilled in the matters necessary to do the job well. He uses his thoughtful approach and calm demeanor to achieve a positive outcome for the client. If you want to feel confident that nothing will be missed and that you will be represented in a highly professional manner, call Jim Eccleston.
Thank you for your professional assistance with this matter. You are very good at what you do.
The work that you and your team have performed on my behalf is exemplary.
Hiring Eccleston Law has been one of the best career decisions I have made and this "investment" to maintain my sterling regulatory record has been returned many times over. If you are in a situation where you've been unfairly accused, don't hesitate to talk with Eccleston Law. They are the best.
That is just fantastic! Thank you very much!
You are the best attorneys in the country.
You guys are good!
This was the best of all possible outcomes and I cannot thank you and the team enough.
Thank you so very much for your guidance, patience, and expertise.
I want to extend a tremendous thank you for your dedication, professionalism, hard work and patient demeanor through this challenging time. It was enjoyable interacting with everyone on your team, this certainly helped while dealing with the situation and working towards resolution.
I cannot thank you enough for your efforts. You have proven to be a valuable resource
Fantastic news!!!! Your professionalism, support and expertise were greatly appreciated. You made a difficult situation much more bearable.
I am so blessed to have you and your dynamic team defending me. Your ethics, forward thinking and strategies are amazing. You guys are the best group of attorneys in the country that I could hire to handle this complicated case.
You were most helpful with my FINRA deposition. You are a good lawyer and a good person.
If you are being bothered by the Regulators, call Eccleston Law, you won't regret it.
It was really fun seeing you fight for us. You have an amazing way of thinking out of the box.
I learned two important things working with Eccleston Law. First, I made a friend and ally with Jim and Steph for life. Secondly, and this is a crucial life lesson - if you need counsel, then seek out the very best. Jim was referred to me by a most trusted source. I've never had to hire an attorney for anything. Now, I know the value of hiring an important partner. Meticulous, thorough and detailed in preparation is the best way to describe Jim. Brilliant too, I might add. Bottom line, I would highly highly recommend Jim and Stephany for your legal needs. One of the best life decisions I've ever made.
I am grateful to have found an outstanding law firm that specializes in securities matters. My lawyers were extremely knowledgeable, diligent, and are skilled litigators. No stone was left upturned. As a result of their experience and tenacity, the arbitration proceeding was dismissed in my favor.
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.
If the regulators are after you, and are trying to make a case against you, and you are going to contest their allegations against you, make sure you have the best securities industry defense lawyers, Eccleston Law Firm. My case was spun into a combination of penalties including fines, cash settlements, CE courses and suspension. They were the best I have seen in action. When all was said and done, they had done their magic, my situation was negotiated and settled with a simple "letter of caution" and a case closed without action. It is the most important legal business decision you will ever make, make it Eccleston Law.
I just wanted to say thanks again for preparing and executing my case in such a professional manner. It was a pleasure to watch two professionals take such pride in their work, as well as becoming personally in tune with your client (Me). I would personally recommend you and your firm to anyone.
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.
I just received this letter from the CFP Board. Thank you, Thank you, THANK YOU!
I want to thank you for your excellent professional representation. It was greatly appreciated.
I have the best legal firm in the country to defend me. Awesome job!
I am so glad I found you! Wow! I appreciate your help, concern and guidance.
A retiree has filed a lawsuit accusing Charles Schwab & Co. and Hightower Advisors of financial elder abuse, fraud, and breach of fiduciary duty.
The Financial Industry Regulatory Authority (FINRA) has suspended and fined a former advisor for what FINRA alleged were excessively risky investments that left clients exposed to significant losses.
UBS Wealth Management USA has filed a petition in federal court to vacate a nearly $95 million FINRA arbitration award, arguing the decision overstepped legal bounds and imposed punitive damages that defy Iowa law, as reported by AdvisorHub.