Eccleston Law: For Investors. For Advisors
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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:

Securities Fraud
The securities attorneys at Eccleston law have investigated thousands of fraudulent investment scams and Ponzi schemes worldwide.
Unauthorized Trading
If you think you were the victim of unauthorized trading, the securities attorneys at Eccleston Law can help you determine your rights.
 
Breach of Fiduciary Matters
In the financial industry, investment advisors who provide securities investment advice are required to place the clients' interests before their own.
Retirement Planning Negligence
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

FAQs

I own what were described as "alternative" investments, yet my investments have plummeted in value. Can I recover those losses?

All investments must be suitable for the investor in light of age, liquidity needs, risk tolerance, investment objectives and all market conditions. Moreover, the risks and features of an "alternative" investment must be adequately explained, including what could happen in a down market such as what we are experiencing with the Coronavirus.

"Alternative" investment losses thus can be recovered if those investments were not suitable, the risks were not adequately explained, or if any of the following alternative investments are involved:

  • Leveraged ETF or Inverse ETF
  • Energy (oil and gas) limited partnership
  • Non-traded REIT (real estate investment trust)
  • BDC (Business Development Company) limited partnership
  • Reverse Convertible Note or Reverse Convertible Bond (also known as "revertible notes" and "reverse exchangeable securities")
  • Hedge Fund
  • Equity-Indexed Annuity
  • Any other "structured product" that combined and underlying investment with the use of derivatives such as options

If you or someone you know incurred losses with such alternative investments or "structured products", and any of the above happened, we recommend contacting us for a no-charge consultation. Most investors file claims in FINRA arbitration to recover their losses, and most claims are brought on a "contingency fee" basis.

I own bonds yet my investments have plummeted in value. Can I recover those bond losses?

All investments must be suitable for the investor in light of age, liquidity needs, risk tolerance, investment objectives and all market conditions. Moreover, the risks and features of an investment must be adequately explained, including what could happen in a down market such as what we are experiencing with the Coronavirus.

Bond losses thus can be recovered if those bonds were not suitable, the risks were not adequately explained, or if any of the following occurred:

  • The corporate bonds were lower credit quality, junk or "high yield" bonds
  • The municipal bonds or state-issued bonds were "revenue" bonds (also known as "limited obligation"), thereby not backed by the full faith and credit of the issuer
  • Those bonds were the great majority of the investment portfolio as the portfolio was not "asset allocated" among stocks, cash and other investments
  • The bonds were not diversified among issuers (corporate, municipal and state), were not diversified among industry, and were not diversified in duration /length
  • The bonds were part of an ETF bond fund or bond mutual fund and the risks of investing in those bonds that way – instead of simply owning individual bonds myself -- was not adequately explained to me
  • The "bonds" actually were "reverse convertible notes", "reverse convertible bonds", or "leveraged loans" (also known as "floating rate loan funds"), which are highly complex, risky and unsuitable for most investors

If you or someone you know incurred losses with bonds and any of the above happened, we recommend contacting us for a no-charge consultation. Most investors file claims in FINRA arbitration to recover their losses, and most claims are brought on a "contingency fee" basis.

I own quality stocks yet my investments have plummeted in value. Can I recover those losses?

All investments must be suitable for the investor in light of age, liquidity needs, risk tolerance, investment objectives and all market conditions. Moreover, the risks and features of an investment must be adequately explained, including what could happen in a down market such as what we are experiencing with the Coronavirus.

Quality stock losses thus can be recovered if those stocks were not suitable, the risks were not adequately explained, or if any of the following occurred:

  • Those stocks were bought using margin
  • Those stocks were the great majority of the investment portfolio as the portfolio was not "asset allocated" among bonds, cash and other investments, which must be done for all investors and especially for retired investors.
  • Those stocks were "concentrated" into one or a few sectors, such as energy stocks (oil and gas) or technology
  • Those stocks were bought alongside options

If you or someone you know incurred losses with quality stocks and any of the above happened, we recommend contacting us for a no-charge consultation. Most investors file claims in FINRA arbitration to recover their losses, and most claims are brought on a "contingency fee" basis.

 

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

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