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.
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.
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
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.
Securities and Exchange Commission (SEC) Enforcement Director Gurbir Grewal recently discussed notable first-of-their-kind enforcement actions that his division has pursued.
The Financial Industry Regulatory Authority (FINRA) has begun an examination sweep of advisors’ involvement with special purpose acquisition companies (SPACs).
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.
