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.

FREQUENTLY ASKED QUESTIONS

  

PROPRIETARY PRODUCT CONCERNS

 

 

 

TESTIMONIALS

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If you find yourself in trouble with the regulators, call Eccleston Law, you won't regret it.

Rick R.

LATEST NEWS AND ARTICLES

May 19, 2022
UBS Advisor Joins U.S. Capital After Contentious Compliance Review

A UBS Wealth Management advisor who generated $3 million in annual revenue has joined U.S. Capital Wealth Advisors, which is a regional Texas-based firm run by a former UBS manager.

 
 
May 18, 2022
Some Advisors Chose Inopportune Time To Boost Bet On GWG Bonds

Financial advisors who chose to double down on GWG are having second thoughts.

 
 
May 17, 2022
Focus Financial Board Member Sues J.P. Morgan Over $7 Million In Pandemic Losses

A California dermatologist, who also is a Focus Financial Partners board member, has filed a $7 million arbitration claim against J.P. Morgan over pandemic-related losses in a managed account.

 
 

TESTIMONIALS

Previous
Next

Fantastic news!!!!  Your professionalism, support and expertise were greatly appreciated.  You made a difficult situation much more bearable.

Marci M.

LATEST NEWS AND ARTICLES

May 19, 2022
UBS Advisor Joins U.S. Capital After Contentious Compliance Review

A UBS Wealth Management advisor who generated $3 million in annual revenue has joined U.S. Capital Wealth Advisors, which is a regional Texas-based firm run by a former UBS manager.

 
 
May 18, 2022
Some Advisors Chose Inopportune Time To Boost Bet On GWG Bonds

Financial advisors who chose to double down on GWG are having second thoughts.

 
 
May 17, 2022
Focus Financial Board Member Sues J.P. Morgan Over $7 Million In Pandemic Losses

A California dermatologist, who also is a Focus Financial Partners board member, has filed a $7 million arbitration claim against J.P. Morgan over pandemic-related losses in a managed account.