Tagged with "customer complaint"

FINRA Suspends Broker for Conduct Related to Customer Complaint

Posted on August 21st, 2020 at 9:05 AM
FINRA Suspends Broker for Conduct Related to Customer Complaint

Former Edward Jones broker, Michael A. Erwin, agreed to pay a $2,500 fine and serve a 10-day suspension from association with any FINRA member firm in all capacities.

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Defending Against a Customer Complaint

Posted on March 27th, 2020 at 11:11 AM
Defending Against a Customer Complaint

Customer complaints and arbitration claims never are good news for financial advisors.    But too often advisors go “from the frying pan to the fire” by agreeing to be represented by the legal counsel that their firm recommends or refers. Advisors are enticed by the word “free”, and they are lulled into a (false) sense of comfort and security knowing their lawyer is liked by his/her financial services firm, sounds smart and polite, is experienced, and reassuring that all will turn out okay.

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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.

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