Broker Litigation & Arbitration at Eccleston Law

 The securities attorneys at Eccleston Law provide broker litigation and arbitration services. Our securities attorneys have extensive experience in defending financial advisors nationwide before the Financial Industry Regulatory Authority (FINRA) in arbitration and enforcement actions, state securities regulators, and the CFP Board.

 

THE SECURITIES ATTORNEYS AT ECCLESTON LAW HAVE ASSISTED FINANCIAL ADVISORS WITH:

At Eccleston Law, we have the knowledge and expertise within the financial industry to provide top quality broker litigation and arbitration. Our securities attorneys are also experienced in dealing with a variety of other financial law matters including breakaway broker services, strategic consulting and counseling, regulatory matters, employment matters, whistleblower actions, expungement of CRD/BrokerCheck disclosures such as customer complaints and criminal matters.

Customer Arbitration
Finding solutions for disputes between customers and businesses and taking disciplinary action as needed.
FINRA Enforcement/Disciplinary Inquiries and Actions
Investigating potential securities violations and bringing formal disciplinary action when needed.
State Registration Inquiries and Actions
Making and resolving inquiries at a state level for a variety of broker litigation matters.
CFP Board Inquiries and Actions
Request documents, information and admissions as needed to take action related to CFP Boards and Commissions.

Contact the securities attorneys at Eccleston Law to schedule a telephone conference about your case today.

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Attorneys are standing by during regular business hours. Call us now for immediate service, or complete the form below and we will contact you as soon as possible.

 

 

 

TESTIMONIALS

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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.

John O.

LATEST NEWS AND ARTICLES

May 19, 2022
UBS Advisor Joins U.S. Capital After Contentious Compliance Review

A UBS Wealth Management advisor who generated $3 million in annual revenue has joined U.S. Capital Wealth Advisors, which is a regional Texas-based firm run by a former UBS manager.

 
 
May 18, 2022
Some Advisors Chose Inopportune Time To Boost Bet On GWG Bonds

Financial advisors who chose to double down on GWG are having second thoughts.

 
 
May 17, 2022
Focus Financial Board Member Sues J.P. Morgan Over $7 Million In Pandemic Losses

A California dermatologist, who also is a Focus Financial Partners board member, has filed a $7 million arbitration claim against J.P. Morgan over pandemic-related losses in a managed account.

 
 

TESTIMONIALS

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Next

If you are being bothered by the Regulators, call Eccleston Law, you won't regret it.

Rick R.

LATEST NEWS AND ARTICLES

May 19, 2022
UBS Advisor Joins U.S. Capital After Contentious Compliance Review

A UBS Wealth Management advisor who generated $3 million in annual revenue has joined U.S. Capital Wealth Advisors, which is a regional Texas-based firm run by a former UBS manager.

 
 
May 18, 2022
Some Advisors Chose Inopportune Time To Boost Bet On GWG Bonds

Financial advisors who chose to double down on GWG are having second thoughts.

 
 
May 17, 2022
Focus Financial Board Member Sues J.P. Morgan Over $7 Million In Pandemic Losses

A California dermatologist, who also is a Focus Financial Partners board member, has filed a $7 million arbitration claim against J.P. Morgan over pandemic-related losses in a managed account.