Securities Attorneys for Investors

With offices in Boca Raton, Sarasota, Chicago, and New York City, the licensed securities attorneys of Eccleston Law Offices represent individual and institutional investors to help recover their investment losses caused by unsuitable investment recommendations, breach of fiduciary duty, negligence or other misconduct. Our skilled attorneys have extensive experience representing investors in arbitration and litigation disputes with securities broker-dealers and investment advisory

The skilled securities attorneys at Eccleston Law have extensive experience in representing investors in arbitration and litigation disputes with securities broker-dealers and investment advisory firms and have also recovered tens of millions of dollars for investors. At Eccleston Law, our work with investors and advisers sets us apart from our competition as we have gained insight and knowledge of the financial services industry as well as the respect of attorneys nationwide on "both sides of the aisle."

The securities attorneys at Eccleston Law assist investors with:

The securities attorneys at Eccleston law have investigated thousands of fraudulent investment scams and Ponzi schemes worldwide.
If you think you were the victim of unauthorized trading, the securities attorneys at Eccleston Law can help you determine your rights.
In the financial industry, investment advisors who provide securities investment advice are required to place the clients' interests before their own.
When dealing with retirement planning negligence, it is important to work with securities attorneys who have experience in providing representation for investors.

The securities attorneys at Eccleston Law have the expertise and industry insight to help investors fight for what is rightfully theirs. Whether you're a senior citizen victimized by securities fraud or a high net worth investor, our attorneys have the experience to handle any legal matter at hand.

A few of Eccleston Law Offices significant victories for investors include:

  • Recovered $2.7M for an investor in securities arbitration
  • Recovered over $1M for an investor in securities mediation
  • Recovered substantial damages for an investor against a trust company due to the trust company's failure to prudently invest, monitor and rebalance the investor's account
  • Obtained one of the first securities arbitration awards against an online brokerage firm for mishandling a customer order and the other sales practice violations
  • Recovered substantial damages, including attorneys' fees, in a breach of fiduciary case against a major U.S. brokerage firm under ERISA
  • Recovered substantial damages for a corporate executive and his wife arising from their adviser's failure to manage risk associated with a concentrated stock position resulting from the exercise of employee incentive stock options (ISOs)

Testimonial QuotationMr. Eccleston and Kim Chavers, we want to Thank You from the bottom of our hearts for all you have done for us. When we realized this was a very bad investment - we did not know where to turn for help. Then we received your name. When we called you - you were so kind to us and then agreed to help us. For this we are so very grateful. The world would be a much nicer place if there were more people like the two of you in it. We will always remember all the help and kindness you have shown us. Thank you so very very much for everything.

-Wayne and Judy Swanson



Are you an investor in need legal advice from an experienced securities attorney?




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.


September 23, 2022
CFP Board Lifts Interim Suspension of Former UBS Advisor

The Certified Financial Planner Board of Standards (CFP Board) has lifted an interim suspension it had imposed against a former UBS advisor after criminal fraud charges against him were recently dismissed.

September 22, 2022
FINRA Penalizes Baird Over $100 Trading Commissions

The Financial Industry Regulatory Authority (FINRA) has ordered Robert W. Baird & Co. to pay $461,481 plus interest due to allegations that the firm overcharged its clients on thousands of equity transactions for at least one year.

September 21, 2022
FINRA Arbitrators Award Nearly $470,000 To Investors in UBS YES Product

A Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered UBS to pay nearly $470,000 to clients who invested in a complex options strategy, known as the YES or Yield Enhancement Strategy.