Securities attorneys for Unauthorized Trading

Unauthorized trading involves transactions a broker makes for a customer without permission. The securities attorneys at Eccleston Law have represented investors in a variety of different unauthorized trading matters in New York, Chicago, Arizona, and other states nationwide.

It is important to work with securities attorneys who have experience in providing representation for securities fraud in the financial industry. If you think you were the victim of unauthorized trading, the securities attorneys at Eccleston Law can help you determine your rights.

At Eccleston Law, our securities attorneys also practice a variety of other areas of securities for investors including unsuitable investments, oil and gas investments, non-traded REITs, retirement planning negligence, breach of fiduciary duty, securities fraud, and much more. If you're an investor in need of a securities attorney for unauthorized trading, contact Eccleston Law to schedule a personal telephone conference today. 

 

TESTIMONIALS

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I learned two important things working with Eccleston Law. First, I made a friend and ally with Jim and Steph for life. Secondly, and this is a crucial life lesson - if you need counsel, then seek out the very best. Jim was referred to me by a most trusted source. I've never had to hire an attorney for anything. Now, I know the value of hiring an important partner. Meticulous, thorough and detailed in preparation is the best way to describe Jim. Brilliant too, I might add. Bottom line, I would highly highly recommend Jim and Stephany for your legal needs. One of the best life decisions I've ever made.

Howard S.

LATEST NEWS AND ARTICLES

January 30, 2026
FINRA Arbitration Panel Orders J.P. Morgan to Amend Form U-5, Flags Potential Pattern of Conduct

A Financial Industry Regulatory Authority (FINRA) arbitration panel recently issued an unusually detailed decision in a dispute between J.P. Morgan Securities and former advisor Joshua David Sappi Biering, shedding rare light on how a firm may deploy - and sometimes abuse - the Form U-5 during advisor departures.

January 29, 2026
OFAC Targets Individual Trustee, Sending a Clear Warning to Fiduciaries and Family Offices

In a rare move, the Office of Foreign Assets Control (OFAC) penalized a former U.S. government official, underscoring that professional gatekeepers can face personal liability for sanctions violations tied to trust administration.

January 28, 2026
FINRA Advances Overhaul of Outside Business Activity Rules to the SEC

FINRA formally has advanced its proposed overhaul of outside business activity (OBA) regulations to the Securities and Exchange Commission.