ATTORNEYS FOR THE FINANCIAL SERVICES INDUSTRY

  

Simply stated, Eccleston Law is the best law firm nationwide to service the needs of financial advisors and investors in employment and securities matters. We represent financial advisors as well as investors, on both sides of the aisle. With offices in Boca Raton, Chicago, and New York City, we set ourselves apart from our competition having gained invaluable insight and knowledge of the securities industry through our team of highly experienced attorneys. Due to our experience and accomplishments, the skilled attorneys at Eccleston Law, as well as James Eccleston himself, have earned the highest awards and distinctions by both clients and peers.
 
 
 
 
 
 
 

FINRA Enforcement Matters

We can guide you through the process, assist you in preparing responses and defenses, and ensure the process proceeds as smoothly and quickly as possible.

 

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CFP Board Matters

We have valuable experience in representing financial advisors in investigations, complaints, and other disciplinary actions initiated by the CFP Board.

 

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Transition Negotiation

Have an experienced attorney from Eccleston Law on your side to review the contract terms that the firm’s lawyer has drafted to protect his/her one and only client – the firm.

 

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TESTIMONIALS

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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.

Cindy C.

 

 

 

LATEST NEWS AND ARTICLES

May 7, 2021
Fund Manager and Former Race Car Team Owner Charged With Multimillions Dollar Fraud

The Securities and Exchange Commission (SEC) has charged Andrew Franzone, former owner of a race car team  and investment adviser FF Fund Management, LLC ("FFM") with fraudulently raising and misappropriating tens of millions of dollars from the sale of limited partnership interests in a private fund, FF Fund I, LP.

May 6, 2021
FINRA Suspends Former Morgan Stanley Advisor Who Failed to Disclose Rental Property

The Financial Industry Regulatory Authority (FINRA) has suspended Steven Melen for four months and fined him $7,500 for failure to disclose his beachfront rental property in Panama.

May 5, 2021
FINRA Suspends Advisor Named As Customer Trustee

The Financial Industry Regulatory Authority (FINRA) has suspended Jimmie Summers for circumventing the procedures at Cetera Financial Group. Summers signed a FINRA Letter of Acceptance, Waiver, and Consent (AWC), in which he consented to a 45-day suspension and $5,000 fine.