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

January 27, 2026
FINRA Sanctions, Criminal Cases, and Industry Bars in 2025

AdvisorHub has compiled a year-end review of enforcement actions and criminal proceedings.

January 26, 2026
James Eccleston Named 2026 Super Lawyer in Securities Litigation

Eccleston Law announces James Eccleston's selection to the 2026 Illinois Super Lawyers list, continuing a track record of excellence since 2005.

January 26, 2026
FINRA Enforcement Actions for Reg BI Violations Surge Past 2024 Levels

The Financial Industry Regulatory Authority (FINRA) already has brought more Regulation Best Interest cases in 2025 than it did during all of 2024, according to statements from the regulator’s top enforcement official and a review of FINRA’s disciplinary records by AdvisorHub.

TESTIMONIALS

Previous
Next

That is just fantastic! Thank you very much!

Julie N.

LATEST NEWS AND ARTICLES

January 27, 2026
FINRA Sanctions, Criminal Cases, and Industry Bars in 2025

AdvisorHub has compiled a year-end review of enforcement actions and criminal proceedings.

January 26, 2026
James Eccleston Named 2026 Super Lawyer in Securities Litigation

Eccleston Law announces James Eccleston's selection to the 2026 Illinois Super Lawyers list, continuing a track record of excellence since 2005.

January 26, 2026
FINRA Enforcement Actions for Reg BI Violations Surge Past 2024 Levels

The Financial Industry Regulatory Authority (FINRA) already has brought more Regulation Best Interest cases in 2025 than it did during all of 2024, according to statements from the regulator’s top enforcement official and a review of FINRA’s disciplinary records by AdvisorHub.