Securities Attorneys for Breach of Fiduciary Duty

In the financial industry, investment advisors who provide securities investment advice are required to place the clients' interests before their own. The securities attorneys at Eccleston Law represent investors for a variety of matters involving the breach of fiduciary duty in New York, Chicago, Florida, and other states nationwide.

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.

 

TESTIMONIALS

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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.

Michael E.

LATEST NEWS AND ARTICLES

November 28, 2023
Arbitration Mandated for Former Morgan Stanley Advisors' Class Claim on Deferred Compensation

A federal judge in Manhattan has granted Morgan Stanley’s request to transfer a potential class action lawsuit to arbitration.

November 28, 2023
Wells Fargo Under SEC Scrutiny for Cash Sweep Programs

The Securities and Exchange Commission (SEC) is investigating Wells Fargo & Company over cash sweep options provided to investment advisory clients.

November 22, 2023
FINRA Alleges $2 Million in Client Losses and $2 Million in Commissions Due to Advisor's Churning

According to a Financial Industry Regulatory Authority (FINRA) complaint, Stewart "Paxton" Ginn excessively traded accounts over two and a half years, resulting in $2.22 million in losses and $2.24 million in commissions for him and his firm.