Financial Broker Employment Transition

 The securities attorneys at Eccleston Law offer legal guidance for brokers and advisors who are seeking to go independent. If you are looking to become a "breakaway broker", we can help protect your interests and ensure an easy breakaway broker employment transition

LEGAL GUIDANCE FROM EXPERIENCED SECURITIES ATTORNEYS AT ECCLESTON LAW

At Eccleston Law, our experienced securities attorneys have provided financial legal advice and guidance for many large and small financial advisors. The broker employment transition services the securities attorneys at Eccleston Law offer include but are not limited to:

Transitions
Broker employment transition compliance services.
Registration
Registration of business entities necessary during transitions.
Strategy
Strategic consulting and legal guidance for transitions.
Negotiation
Negotiation of terms of the employment transition and forgivable loan agreements for new financial advisory firm
Defense
Defend financial advisors' interest and reputation during transition.

In addition to the legal services for financial advisors and broker-dealers listed above, our securities attorneys provide a variety of other financial broker legal services that minimize the risk of transitioning and also helps initiate a start-up business entity. If you are interested in learning more about how our experienced securities attorneys can help you, contact Eccleston Law to schedule a one-on-one consultation today.



 

 

 

TESTIMONIALS

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Thank you for your professional assistance with this matter. You are very good at what you do.

John T.

LATEST NEWS AND ARTICLES

October 20, 2025
FINRA Accuses Former MML Broker of Cheating on SIE Exam

Regulators have accused a former MML Investors Services-affiliated broker of cheating on the Securities Industry Essentials (SIE) exam, according to a recent Financial Industry Regulatory Authority (FINRA) enforcement complaint.

October 17, 2025
FINRA Fines Oak Hills Securities for Private Placement Misconduct

The Financial Industry Regulatory Authority (FINRA) has censured and fined Oak Hills Securities Inc., an Oklahoma City brokerage, for multiple rule violations over five years.

October 16, 2025
FINRA Suspends Former Citigroup Advisor Over Undisclosed Business Activities

The Financial Industry Regulatory Authority (FINRA) has suspended former Citigroup representative Maximiliano Ramirez and fined him $5,000 for engaging in undisclosed outside business activities and investments.

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

October 20, 2025
FINRA Accuses Former MML Broker of Cheating on SIE Exam

Regulators have accused a former MML Investors Services-affiliated broker of cheating on the Securities Industry Essentials (SIE) exam, according to a recent Financial Industry Regulatory Authority (FINRA) enforcement complaint.

October 17, 2025
FINRA Fines Oak Hills Securities for Private Placement Misconduct

The Financial Industry Regulatory Authority (FINRA) has censured and fined Oak Hills Securities Inc., an Oklahoma City brokerage, for multiple rule violations over five years.

October 16, 2025
FINRA Suspends Former Citigroup Advisor Over Undisclosed Business Activities

The Financial Industry Regulatory Authority (FINRA) has suspended former Citigroup representative Maximiliano Ramirez and fined him $5,000 for engaging in undisclosed outside business activities and investments.