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Strategic Consulting Services at Eccleston Law

The securities attorneys at Eccleston Law offer strategic consulting and counseling services for financial advisors. This includes strategic consulting for breakaway brokers who are transitioning to a new firm.

 

THE SECURITIES ATTORNEYS AT ECCLESTON LAW HELP BROKERS WITH:

Clients
Investments/Products
Their Firm
Industry trends affecting their business
Regulatory matters affecting their firm
Their managers, team members, and other sales and operations of compliance personnel

At Eccleston Law, our securities attorneys have extensive experience dealing with financial law matters and can provide quality legal advice for your situation. In addition to strategic consulting and counseling, the securities attorneys at Eccleston Law also practices areas including employment matters, regulatory matters, and whistleblower law. As a financial advisor, contact Eccleston Law if you're in need of strategic consulting and counseling.



 

 

 

TESTIMONIALS

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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.

LATEST NEWS AND ARTICLES

1781638769 Law
June 16, 2026
Cetera Hit With Class Action Lawsuit Over Cash Sweep Program

A proposed class action lawsuit has accused Cetera Financial Group and Cetera Investment Services of improperly profiting from customer cash held in the firms' FlexInsured Account Program, according to a report by ThinkAdvisor.

1781539717 Law
June 15, 2026
New York Insurance Agent Pleads Guilty to $50 Million Ponzi Scheme

A New York insurance agent and tax preparer has pleaded guilty to operating a Ponzi scheme that allegedly defrauded nearly 1,000 investors out of more than $50 million over several decades, according to a report by InvestmentNews.

1781279618 Law
June 12, 2026
FINRA Suspends Former LPL Broker Over Undisclosed Outside Business Activity

The Financial Industry Regulatory Authority (FINRA) has imposed a $5,000 fine and a 45-day suspension against former LPL Financial broker James R.

TESTIMONIALS

Previous
Next
Quotes Bigger

I am so blessed to have you and your dynamic team defending me. Your ethics, forward thinking and strategies are amazing.  You guys are the best group of attorneys in the country that I could hire to handle this complicated case.

Cindy C.

LATEST NEWS AND ARTICLES

1781638769 Law
June 16, 2026
Cetera Hit With Class Action Lawsuit Over Cash Sweep Program

A proposed class action lawsuit has accused Cetera Financial Group and Cetera Investment Services of improperly profiting from customer cash held in the firms' FlexInsured Account Program, according to a report by ThinkAdvisor.

1781539717 Law
June 15, 2026
New York Insurance Agent Pleads Guilty to $50 Million Ponzi Scheme

A New York insurance agent and tax preparer has pleaded guilty to operating a Ponzi scheme that allegedly defrauded nearly 1,000 investors out of more than $50 million over several decades, according to a report by InvestmentNews.

1781279618 Law
June 12, 2026
FINRA Suspends Former LPL Broker Over Undisclosed Outside Business Activity

The Financial Industry Regulatory Authority (FINRA) has imposed a $5,000 fine and a 45-day suspension against former LPL Financial broker James R.