Securities attorneys for Regulatory Matters

The securities attorneys at Eccleston Law can defend financial advisors against inquiries, investigations, and disciplinary actions initiated by FINRA, SEC, state securities and insurance regulators, and other professional organizations such as the Certified Financial Planner (CFP) Board of Standards. 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 in New York, Chicago, Florida, and several other states nationwide.

The securities attorneys at Eccleston Law offer regulatory legal defense services including:

  • Represent investment advisers during SEC and state regulatory examinations and assist in drafting responses to the SEC challenging alleged examination deficiencies.
  • Defend against CFP Board inquiries and disciplinary actions.
  • Assist in drafting responses to the SEC challenging alleged examination deficiencies.
  • Provide FINRA license suspension hearing defense and post-arbitration award proceedings and appeals.
  • Provide an annual review (audit) of policies and procedures.

The securities attorneys at Eccleston Law also practice a variety of other areas of securities for financial advisors including breakaway broker services, employment matters, strategic consulting and counseling, broker litigation and arbitration, whistleblower actions, and much more. If you need a securities attorney for SEC & FINRA legal matters, contact Eccleston Law to schedule a telephone conference.




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 27, 2021
Former LPL Advisor Suspended For Completing 22 Trades Absent Client Consent

The Financial Industry Regulatory Authority (FINRA) has suspended and fined a former LPL advisor who allegedly completed 22 trades on behalf of a client without obtaining written consent. FINRA has issued a $5,000 fine and has suspended Michael Hartlett for 10 days.

October 26, 2021
Former Advisor Fails To Reverse Bar After Alleged $1 Million Theft From RBC

A former RBC Wealth Management advisor lost his bid to reverse an industry bar, according to an appellate decision issued by the Financial Industry Regulatory Authority (FINRA).

October 25, 2021
Firms Walk Thin Regulatory Line In Referring Self-Directed Clients To Advisors

While online trading platforms have surged in popularity during the pandemic, brokerage firms view self-directed investors as a source of new clients.