Claims almost always require mandatory securities arbitration before the Financial Industry Regulatory Authority (FINRA). It's important to work with securities attorneys who have experience in providing representation for breach of fiduciary duty matters in the financial industry.
At Eccleston Law, our securities attorneys also practice a variety of other areas of securities for investors including retirement planning negligence, unauthorized trading, securities fraud, and much more. If you're an investor in need of a securities attorney for broker negligence, contact Eccleston Law to schedule a personal telephone conference today.
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.
The Certified Financial Planner (CFP) Board of Standards has established a new Appeals Commission. As the name suggests, the Appeals Commission possesses the sole authority to adjudicate appeal hearings.
Edward Jones & Co. failed to convince the U.S. Supreme Court to analyze how a federal securities law impacts a client dispute pertaining to fee-based accounts.
The Securities and Exchange Commission (SEC) has charged The Heartland Group Ventures, Heartland Production and Recovery, six other Heartland-affiliated entities, four Heartland-affiliated individuals as well as several oil and gas operators.
