Securities Attorneys for Financial Advisors

The licensed and highly qualified securities attorneys of Eccleston Law counsel, represent and defend financial advisors nationwide in legal matters such as regulatory, compliance, disciplinary and employment through the use of arbitration and litigation. Our securities attorneys have years and years experience in representing financial advisors before regulatory bodies such as the SEC, FINRA, and state securities regulators.

We frequently defend forgivable loan collection actions, prosecute Form U-5 defamation actions, counsel financial advisors as to how to transition successfully from firm to firm. Our securities attorneys also offer other legal services for financial advisors including succession planning, buy-sell agreements, other exit strategies,  strategic consulting, practice transitions, mergers, acquisitions, and divestitures.

Customer complaint? FINRA inquiry? CFP investigation? Regulatory audit?

You need your own lawyer! For serious matters like a customer complaint or regulatory inquiry, you need your own lawyer to protect your interests when you respond to your firm’s compliance department. This is even more important if your firm’s lawyer or outside legal counsel is involved, as they are conflicted and provide you no attorney-client privilege protection. Contact us today for a no-charge consultation.

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The securities attorneys at Eccleston Law assist financial advisors with:

We can provide valuable advice and assistance in responding to FINRA Enforcement inquiries and actions and are here to help you with all aspects of the Enforcement process.
If you are an independent broker-dealer or are looking to become a "breakaway broker", we can help protect your assets and ensure an easy breakaway broker employment transition.
If you have received a CFP Notice of Investigation, a CFP Complaint, or a notice of Presumptive Bar as a CFP Candidate, we can provide guidance to you in all aspects of CFP disciplinary proceedings.
Have an experienced securities attorney from Eccleston Law on your side to review the contract terms that the firm’s attorney has drafted to protect his/her one and only client – the firm.
The securities attorneys at Eccleston Law consult and defend financial advisors nationwide against promissory note (forgivable loan) collection actions.
Employment matters can impact compensation, future opportunities, and overall professional reputation in the financial industry. Work with one of our employment attorneys.
Our team of securities attorneys at Eccleston Law have experience representing financial advisors before regulatory bodies such as the FINRA, SEC, and state securities regulators nationwide.
Whether you need strategic consulting from a securities attorney for broker transition, investments, regulatory matters or overall industry trends, Eccleston Law can guide you in the right direction.
The securities attorneys at Eccleston Law represent financial advisors who seek to file whistleblower actions including cases like securities fraud, SEC fraud, Tax fraud, investment fraud and more.
The securities attorneys at Eccleston Law have the knowledge and expertise within the financial industry to provide top-quality broker litigation and arbitration.
Custom Agreement Formation
Partnership Issues / Disputes


Significant Victories of the Securities Attorneys at Eccleston Law

Granted zero dollars to the investor, the financial advisor reps of Eccleston Law have shown expertise through multiple significant victories in the past. For example, our securities attorneys defended a financial advisor and an accountant against claims that an investor had brought for unsuitable investments and conflicts of interest in which the arbitrator:

  • Ordered the investor to pay forum fees to the investment advisor.
  • Found that the case against the accountant was essentially frivolous.
  • Found the investor's expert to be unqualified to testify as an expert.

Another significant victory case is when the securities attorneys of Eccleston Law represented a broker in a wrongful termination and defamation action in which we convinced the arbitration panel to award $865,000 in compensatory damages plus removal of defamatory language from his publicly-available employment record (U-5).

The securities attorneys at Eccleston Law also represented a broker in a wrongful termination and defamation action in which we convinced the arbitration panel to award damages, to amend the broker's Form U-5, and to declare the outstanding promissory note balance null and void.

Other significant victories include when the securities attorneys of Eccleston Law proudly obtained the largest jury verdict ever (as of 1991) in Cook County, Illinois for a defamation and wrongful termination lawsuit for a business executive as well as helping transition and negotiate the deal for a large financial advisor team with over $10 million in annual gross production from one wirehouse to another wirehouse. When it comes to representing financial advisors, the expert securities attorneys of Eccleston Law will work with you and provide high-quality advice.

Are you a financial advisor in need of legal advice from an experienced securities attorney?




As a financial advisor with over 20 years of experience, I feel fortunate to call Jim my attorney and friend. He is a fantastic lawyer and trusted advisor. He is skilled in the matters necessary to do the job well. He uses his thoughtful approach and calm demeanor to achieve a positive outcome for the client. If you want to feel confident that nothing will be missed and that you will be represented in a highly professional manner, call Jim Eccleston.

Bill C. and Dan M.


October 20, 2021
5 First-of-Their-Kind SEC Enforcement Actions Announced

Securities and Exchange Commission (SEC) Enforcement Director Gurbir Grewal recently discussed notable first-of-their-kind enforcement actions that his division has pursued.

October 19, 2021
FINRA Targets SPACs in Most Recent Exam Sweep

The Financial Industry Regulatory Authority (FINRA) has begun an examination sweep of advisors’ involvement with special purpose acquisition companies (SPACs).

October 18, 2021
SEC’s Statement on Complex Exchange-Traded Products

The Securities and Exchange Commission (SEC) recently voted to approve a pair of rule changes proposed by Cboe BZX Exchange, Inc. to list and trade shares of new exchange traded-products: the 2x Long VIX Futures ETC and the -1x Short VIX Futures ETF.