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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This was the best of all possible outcomes and I cannot thank you and the team enough.

Michael S.

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May 19, 2025
The Lower Barriers and Higher Risks of Private Market Investing

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May 16, 2025
Founder of AML Bitcoin Convicted in $5 Million Cryptocurrency Fraud Scheme

A California federal jury has convicted Rowland Marcus Andrade, the founder of AML Bitcoin, on charges of wire fraud and money laundering.

May 15, 2025
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FINRA has suspended a former Raymond James advisor for three months and ordered him to pay over $23,000 in fines and disgorgement for executing unauthorized trades in an elderly client’s account.

TESTIMONIALS

Previous
Next

You are the best attorneys in the country.

CC

LATEST NEWS AND ARTICLES

May 19, 2025
The Lower Barriers and Higher Risks of Private Market Investing

Investing in private companies is becoming more accessible—but whether that is a good thing remains up for debate.

May 16, 2025
Founder of AML Bitcoin Convicted in $5 Million Cryptocurrency Fraud Scheme

A California federal jury has convicted Rowland Marcus Andrade, the founder of AML Bitcoin, on charges of wire fraud and money laundering.

May 15, 2025
FINRA Suspends Former Raymond James Broker Over Unauthorized Trades in Elderly Client's Account

FINRA has suspended a former Raymond James advisor for three months and ordered him to pay over $23,000 in fines and disgorgement for executing unauthorized trades in an elderly client’s account.