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

Michael S.

LATEST NEWS AND ARTICLES

July 31, 2025
Florida Attorney General Targets RAD Diversified REIT Over Suspected Ponzi Scheme

Florida Attorney General James Uthmeier has launched an aggressive investigation into RAD Diversified REIT, Inc., its subsidiaries, and its owners, Brandon “Dutch” Mendenhall and Amy Vaughn, for allegedly violating Florida’s Deceptive and Unfair Trade Practices Act and other state laws.

July 30, 2025
Florida Woman Arrested in $2.6 Million Theft Scheme Tied to Former Merrill Lynch Advisor

A Florida woman faces multiple felony charges for allegedly helping a former Merrill Lynch advisor steal millions from a high-profile NFL client, as reported by AdvisorHub.

July 29, 2025
Stifel Faces Mounting Arbitration Losses Over Chuck Roberts' Structured Note Sales

Stifel Financial has reached another substantial settlement connected to a controversial structured note strategy promoted by Miami-based broker Chuck A. Roberts.

TESTIMONIALS

Previous
Next

I cannot thank you enough for your efforts. You have proven to be a valuable resource

Jim T.

LATEST NEWS AND ARTICLES

July 31, 2025
Florida Attorney General Targets RAD Diversified REIT Over Suspected Ponzi Scheme

Florida Attorney General James Uthmeier has launched an aggressive investigation into RAD Diversified REIT, Inc., its subsidiaries, and its owners, Brandon “Dutch” Mendenhall and Amy Vaughn, for allegedly violating Florida’s Deceptive and Unfair Trade Practices Act and other state laws.

July 30, 2025
Florida Woman Arrested in $2.6 Million Theft Scheme Tied to Former Merrill Lynch Advisor

A Florida woman faces multiple felony charges for allegedly helping a former Merrill Lynch advisor steal millions from a high-profile NFL client, as reported by AdvisorHub.

July 29, 2025
Stifel Faces Mounting Arbitration Losses Over Chuck Roberts' Structured Note Sales

Stifel Financial has reached another substantial settlement connected to a controversial structured note strategy promoted by Miami-based broker Chuck A. Roberts.