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

February 21, 2024
SEC Alleges Fraud Against Morgan Stanley and Former Executive in Block Trading Business

As reported by the Wall Street Journal, the Securities and Exchange Commission (SEC) has charged Morgan Stanley & Co. LLC and its former head of equity syndicate desk, Pawan Passi, with a multi-year fraud involving the disclosure of confidential information related to block trades.

February 20, 2024
Challenges Persist: Firms Struggle to Comply with Regulation Best Interest

FINRA's annual report for 2024 reveals a concerning trend among broker-dealers, with numerous instances of violations of Regulation Best Interest (Reg BI).

February 19, 2024
FINRA Flags Violations in 70% of Broker-Dealers' Crypto Communications

During a two-year-old targeted examination, the Financial Industry Regulatory Authority (FINRA) has identified potential violations in 70 percent of broker-dealers' communications about cryptocurrencies.