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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You were most helpful with my FINRA deposition. You are a good lawyer and a good person.

Dan B.

LATEST NEWS AND ARTICLES

March 17, 2025
FINRA Disciplinary Actions Rise for the First Time Since 2016

The Financial Industry Regulatory Authority (FINRA) increased its enforcement actions in 2024, marking the first rise in disciplinary cases since 2016, as reported by AdvisorHub.

March 14, 2025
Apex Clearing to Pay $3.2 Million in FINRA Settlement Over Securities Lending Violations

Apex Clearing, the clearing arm of Apex Fintech Solutions, has agreed to pay $3.2 million to settle FINRA allegations that it failed to ensure customers received compensation for lending their securities.

March 13, 2025
Congress Considers Expanding the Accredited Investor Definition

A recent congressional hearing examined potential reforms to the accredited investor definition, a critical threshold determining who can participate in private market investments.

TESTIMONIALS

Previous
Next

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

Michael S.

LATEST NEWS AND ARTICLES

March 17, 2025
FINRA Disciplinary Actions Rise for the First Time Since 2016

The Financial Industry Regulatory Authority (FINRA) increased its enforcement actions in 2024, marking the first rise in disciplinary cases since 2016, as reported by AdvisorHub.

March 14, 2025
Apex Clearing to Pay $3.2 Million in FINRA Settlement Over Securities Lending Violations

Apex Clearing, the clearing arm of Apex Fintech Solutions, has agreed to pay $3.2 million to settle FINRA allegations that it failed to ensure customers received compensation for lending their securities.

March 13, 2025
Congress Considers Expanding the Accredited Investor Definition

A recent congressional hearing examined potential reforms to the accredited investor definition, a critical threshold determining who can participate in private market investments.