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

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

Michael M.

LATEST NEWS AND ARTICLES

August 20, 2025
LPL Financial Faces Lawsuit Over Alleged California Labor Code Violations

LPL Financial is facing a lawsuit in California Superior Court alleging widespread wage and hour violations affecting non-exempt employees across the state.

August 19, 2025
UBS Hit with $737,000 FINRA Arbitration Award Over Mismanaged Tesla Options Strategy

UBS Financial Services has been ordered to pay $737,000 in damages and fees after a former Tesla executive accused the firm of mishandling an options strategy involving his concentrated stock position.

August 18, 2025
Stifel Drops Advisor Chuck Roberts Amid Legal Fallout from Failed Structured Notes Strategy

Stifel Financial Corp. has parted ways with Chuck Roberts, a high-profile financial advisor whose investment strategies have triggered a wave of costly legal complaints.

TESTIMONIALS

Previous
Next

I cannot thank you enough for your efforts. You have proven to be a valuable resource.

Jim T.

LATEST NEWS AND ARTICLES

August 20, 2025
LPL Financial Faces Lawsuit Over Alleged California Labor Code Violations

LPL Financial is facing a lawsuit in California Superior Court alleging widespread wage and hour violations affecting non-exempt employees across the state.

August 19, 2025
UBS Hit with $737,000 FINRA Arbitration Award Over Mismanaged Tesla Options Strategy

UBS Financial Services has been ordered to pay $737,000 in damages and fees after a former Tesla executive accused the firm of mishandling an options strategy involving his concentrated stock position.

August 18, 2025
Stifel Drops Advisor Chuck Roberts Amid Legal Fallout from Failed Structured Notes Strategy

Stifel Financial Corp. has parted ways with Chuck Roberts, a high-profile financial advisor whose investment strategies have triggered a wave of costly legal complaints.