
The deadline for completing the initial retrospective review required by the Department of Labor (DOL) is quickly approaching.
With two offices in Florida, alone, our firm has particularly valued experience in defending brokers and financial advisors with investigations and disciplinary actions undertaken by the Florida Office of Financial Regulation (“FL OFR”).
Whether you are applying for registration, amending Form ADV disclosures, or have received a request for documents and information following an examination, our securities attorneys may be able to help prevent an inquiry from evolving into a formal investigation or further disciplinary action.
In the event your matter has already escalated to formal charges or an offer of a proposed Stipulation and Consent Agreement, we can likely lower your costs and maximize the potential for a positive outcome and you can count on the securities attorneys at Eccleston Law to vigorously and effectively represent you in many common types of state regulatory actions by:
If you have a state licensing or registration matter or need advice on state or industry rules, Eccleston Law is here to help. Call or email us to set up a free consultation with experienced securities attorneys.
I just received this letter from the CFP Board. Thank you, Thank you, THANK YOU!
If you are being bothered by the Regulators, call Eccleston Law, you won't regret it.
We just wanted to say thanks for your work in helping us get back some of the money we lost. We are not by any means rich, but we have saved some money and we have done so through a tight-fisted approach to most everything we do. So losing a significant chunk of money hurt…especially at a time when everyone else was growing their accounts. We really appreciate the work you did.
Jim, Stephany and the whole team were a God send. We felt like we were put into a situation where we had no advocate. Jim’s team came in with a strong, well laid out strategy on how to get our story heard. Where our outside compliance company had no ability to help, our Broker Dealer was impenitent, and the regulators were aggressive pursuing vague rules, Jim came like a barricade against an assault we did not understand. Though you pay member dues to be affiliated with FINRA and a B/D, you have no voice. The only thing that is truly heard in this un-level playing field is a bulldog’s bark like Jim’s. I would encourage anyone to call Jim and his team to find a real ally in the tough and complicated world of securities regulation. They are truly the best.
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.
I just wanted to say thanks again for preparing and executing my case in such a professional manner. It was a pleasure to watch two professionals take such pride in their work, as well as becoming personally in tune with your client (Me). I would personally recommend you and your firm to anyone.
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.
Fantastic news!!!! Your professionalism, support and expertise were greatly appreciated. You made a difficult situation much more bearable.
Thank You from the bottom of our hearts for all you have done for us. When we realized this was a very bad investment - we did not know where to turn for help. Then we received your name. When we called you - you were so kind to us and then agreed to help us. For
You guys are good!
I am grateful to have found an outstanding law firm that specializes in securities matters. My lawyers were extremely knowledgeable, diligent, and are skilled litigators. No stone was left upturned. As a result of their experience and tenacity, the arbitration proceeding was dismissed in my favor.
The work that you and your team have performed on my behalf is exemplary.
I want to thank you for your excellent professional representation. It was greatly appreciated.
Thank you for your professional assistance with this matter. You are very good at what you do.
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.
I have the best legal firm in the country to defend me. Awesome job!
Hiring Eccleston Law has been one of the best career decisions I have made and this "investment" to maintain my sterling regulatory record has been returned many times over. If you are in a situation where you've been unfairly accused, don't hesitate to talk with Eccleston Law. They are the best.
You were most helpful with my FINRA deposition. You are a good lawyer and a good person.
I am so glad I found you! Wow! I appreciate your help, concern and guidance.
If you find yourself in trouble with the regulators, call Eccleston Law, you won't regret it.
Thank you so very much for your guidance, patience, and expertise.
I am so blessed to have you and your dynamic team defending me. Your ethics, forward thinking and strategies are amazing. You guys are the best group of attorneys in the country that I could hire to handle this complicated case.
This was the best of all possible outcomes and I cannot thank you and the team enough.
I cannot thank you enough for your efforts. You have proven to be a valuable resource
The deadline for completing the initial retrospective review required by the Department of Labor (DOL) is quickly approaching.
The Financial Industry Regulatory Authority (FINRA) imposed a one-month suspension and a $5,000 fine on former David Lerner Associates branch manager Rande Aaronson.
The Securities and Exchange Commission (SEC) has charged Douglas McKelvey, a former Morgan Stanley financial advisor, with fraud for misappropriating more than $1.7 million from two elderly customers who were his close relatives.
I want to thank you for your excellent professional representation. It was greatly appreciated.
Hiring Eccleston Law has been one of the best career decisions I have made and this "investment" to maintain my sterling regulatory record has been returned many times over. If you are in a situation where you've been unfairly accused, don't hesitate to talk with Eccleston Law. They are the best.
I just received this letter from the CFP Board. Thank you, Thank you, THANK YOU!
I cannot thank you enough for your efforts. You have proven to be a valuable resource
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.
If you find yourself in trouble with the regulators, call Eccleston Law, you won't regret it.
Thank you for your professional assistance with this matter. You are very good at what you do.
I just wanted to say thanks again for preparing and executing my case in such a professional manner. It was a pleasure to watch two professionals take such pride in their work, as well as becoming personally in tune with your client (Me). I would personally recommend you and your firm to anyone.
Fantastic news!!!! Your professionalism, support and expertise were greatly appreciated. You made a difficult situation much more bearable.
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.
I am so glad I found you! Wow! I appreciate your help, concern and guidance.
Thank You from the bottom of our hearts for all you have done for us. When we realized this was a very bad investment - we did not know where to turn for help. Then we received your name. When we called you - you were so kind to us and then agreed to help us. For
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.
I am so blessed to have you and your dynamic team defending me. Your ethics, forward thinking and strategies are amazing. You guys are the best group of attorneys in the country that I could hire to handle this complicated case.
The work that you and your team have performed on my behalf is exemplary.
You were most helpful with my FINRA deposition. You are a good lawyer and a good person.
Jim, Stephany and the whole team were a God send. We felt like we were put into a situation where we had no advocate. Jim’s team came in with a strong, well laid out strategy on how to get our story heard. Where our outside compliance company had no ability to help, our Broker Dealer was impenitent, and the regulators were aggressive pursuing vague rules, Jim came like a barricade against an assault we did not understand. Though you pay member dues to be affiliated with FINRA and a B/D, you have no voice. The only thing that is truly heard in this un-level playing field is a bulldog’s bark like Jim’s. I would encourage anyone to call Jim and his team to find a real ally in the tough and complicated world of securities regulation. They are truly the best.
We just wanted to say thanks for your work in helping us get back some of the money we lost. We are not by any means rich, but we have saved some money and we have done so through a tight-fisted approach to most everything we do. So losing a significant chunk of money hurt…especially at a time when everyone else was growing their accounts. We really appreciate the work you did.
I am grateful to have found an outstanding law firm that specializes in securities matters. My lawyers were extremely knowledgeable, diligent, and are skilled litigators. No stone was left upturned. As a result of their experience and tenacity, the arbitration proceeding was dismissed in my favor.
Thank you so very much for your guidance, patience, and expertise.
This was the best of all possible outcomes and I cannot thank you and the team enough.
If you are being bothered by the Regulators, call Eccleston Law, you won't regret it.
You guys are good!
I have the best legal firm in the country to defend me. Awesome job!
The deadline for completing the initial retrospective review required by the Department of Labor (DOL) is quickly approaching.
The Financial Industry Regulatory Authority (FINRA) imposed a one-month suspension and a $5,000 fine on former David Lerner Associates branch manager Rande Aaronson.
The Securities and Exchange Commission (SEC) has charged Douglas McKelvey, a former Morgan Stanley financial advisor, with fraud for misappropriating more than $1.7 million from two elderly customers who were his close relatives.