Tr?id=566623520170033&ev=PageView&noscript=1

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

Previous
Next
Quotes Bigger

I want to thank you for your excellent professional representation. It was greatly appreciated.

Michael M.

LATEST NEWS AND ARTICLES

1793645928 Law
November 2, 2026
FINRA Finds Florida Broker Violated Regulation Best Interest in Variable Annuity Exchanges

The Financial Industry Regulatory Authority (FINRA) has found that a Florida-based registered representative violated Regulation Best Interest (Reg BI) by recommending that eight retired clients exchange their variable annuities.

1793380402 Law
October 30, 2026
Former LPL Broker Faces Federal Charges in Alleged $11 Million Ponzi Scheme

Federal prosecutors accuse former LPL Financial broker William B.

1793294906 Law
October 29, 2026
FINRA Bars Former LPL Financial Broker for Refusing to Cooperate With Investigation

?The Financial Industry Regulatory Authority (FINRA?) barred Buddy Dean Mason, a former LPL Financial broker in Lakeland, Florida, after he refused to provide documents and information during an investigation into a customer complaint involving an alleged outside investment.

TESTIMONIALS

Previous
Next
Quotes Bigger

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.

LATEST NEWS AND ARTICLES

1793645928 Law
November 2, 2026
FINRA Finds Florida Broker Violated Regulation Best Interest in Variable Annuity Exchanges

The Financial Industry Regulatory Authority (FINRA) has found that a Florida-based registered representative violated Regulation Best Interest (Reg BI) by recommending that eight retired clients exchange their variable annuities.

1793380402 Law
October 30, 2026
Former LPL Broker Faces Federal Charges in Alleged $11 Million Ponzi Scheme

Federal prosecutors accuse former LPL Financial broker William B.

1793294906 Law
October 29, 2026
FINRA Bars Former LPL Financial Broker for Refusing to Cooperate With Investigation

?The Financial Industry Regulatory Authority (FINRA?) barred Buddy Dean Mason, a former LPL Financial broker in Lakeland, Florida, after he refused to provide documents and information during an investigation into a customer complaint involving an alleged outside investment.