TEAM / PARTNERSHIP DISPUTE

Teams have disputes.  Some disputes can be resolved easily. Others need a third party involved to help. And some disputes cause partners to conclude, like spouses in a marriage, to go their separate ways. 

How Eccleston Attorneys Can Help

Too often, branch office politics or incompetent managers dictate the result, and arrive at decisions or compromises that make little sense or are unfair. Attorneys at Eccleston Law work nationwide to assist financial advisors who have team / partnership disputes. Considerations may include:

Broker Transition
Employment Matters
Regulatory Matters
Strategic Consulting

Whether it is consulting behind the scenes, conferences or meetings with managers or partners, filing in-house grievance / mediation requests, or filing FINRA arbitration claims to seek a fair resolution, we guide financial advisors through this difficult time in their careers.



 

 

 

TESTIMONIALS

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I have the best legal firm in the country to defend me. Awesome job!

Cindy C.

LATEST NEWS AND ARTICLES

June 9, 2025
Investor Sues Both Schwab and Hightower Over Pledged Asset Line

A retiree has filed a lawsuit accusing Charles Schwab & Co. and Hightower Advisors of financial elder abuse, fraud, and breach of fiduciary duty.

June 6, 2025
FINRA Sanctions Former Broker for Unsuitable, High-Risk GWG Bond Sales

The Financial Industry Regulatory Authority (FINRA) has suspended and fined a former advisor for what FINRA alleged were excessively risky investments that left clients exposed to significant losses.

June 5, 2025
UBS Seeks to Overturn $95 Million FINRA Award Over Tesla Shorting Strategy

UBS Wealth Management USA has filed a petition in federal court to vacate a nearly $95 million FINRA arbitration award, arguing the decision overstepped legal bounds and imposed punitive damages that defy Iowa law, as reported by AdvisorHub.

TESTIMONIALS

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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.

John O.

LATEST NEWS AND ARTICLES

June 9, 2025
Investor Sues Both Schwab and Hightower Over Pledged Asset Line

A retiree has filed a lawsuit accusing Charles Schwab & Co. and Hightower Advisors of financial elder abuse, fraud, and breach of fiduciary duty.

June 6, 2025
FINRA Sanctions Former Broker for Unsuitable, High-Risk GWG Bond Sales

The Financial Industry Regulatory Authority (FINRA) has suspended and fined a former advisor for what FINRA alleged were excessively risky investments that left clients exposed to significant losses.

June 5, 2025
UBS Seeks to Overturn $95 Million FINRA Award Over Tesla Shorting Strategy

UBS Wealth Management USA has filed a petition in federal court to vacate a nearly $95 million FINRA arbitration award, arguing the decision overstepped legal bounds and imposed punitive damages that defy Iowa law, as reported by AdvisorHub.