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.

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 received this letter from the CFP Board. Thank you, Thank you, THANK YOU!

David Y

LATEST NEWS AND ARTICLES

January 31, 2023
Former LPL Advisor Receives 8-Year Prison Sentence For Misappropriation of Client Funds

A former LPL financial advisor recently was sentenced to more than eight years in prison, or 100 months, for his role in a scheme that misappropriated $2.8 million from six clients. 

January 30, 2023
Silvergate Shares Skyrocket Amidst FTX Meltdown

Silvergate Capital share prices increased after the company announced its fourth-quarter results, even after FTX’s collapse, which forced Silvergate to fire staff and sell assets.

January 27, 2023
SEC Files Suit Against Gemini and Genesis Over Crypto “Earn” Program

The Securities and Exchange Commission (SEC) has filed suit against two crypto brokerages, Genesis Global Capital and Gemini Trust Co., for breaching federal securities laws. 

TESTIMONIALS

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Next

If the regulators are after you, and are trying to make a case against you, and you are going to contest their allegations against you, make sure you have the best securities industry defense lawyers, Eccleston Law Firm. My case was spun into a combination of penalties including fines, cash settlements, CE courses and suspension. They were the best I have seen in action. When all was said and done, they had done their magic, my situation was negotiated and settled with a simple "letter of caution" and a case closed without action. It is the most important legal business decision you will ever make, make it Eccleston Law.

Rick R.

LATEST NEWS AND ARTICLES

January 31, 2023
Former LPL Advisor Receives 8-Year Prison Sentence For Misappropriation of Client Funds

A former LPL financial advisor recently was sentenced to more than eight years in prison, or 100 months, for his role in a scheme that misappropriated $2.8 million from six clients. 

January 30, 2023
Silvergate Shares Skyrocket Amidst FTX Meltdown

Silvergate Capital share prices increased after the company announced its fourth-quarter results, even after FTX’s collapse, which forced Silvergate to fire staff and sell assets.

January 27, 2023
SEC Files Suit Against Gemini and Genesis Over Crypto “Earn” Program

The Securities and Exchange Commission (SEC) has filed suit against two crypto brokerages, Genesis Global Capital and Gemini Trust Co., for breaching federal securities laws.