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.

PROPRIETARY PRODUCT CONCERNS

 

 

 

TESTIMONIALS

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Thank you so very much for your guidance, patience, and expertise.

Beth and Steve K.

LATEST NEWS AND ARTICLES

November 28, 2023
Arbitration Mandated for Former Morgan Stanley Advisors' Class Claim on Deferred Compensation

A federal judge in Manhattan has granted Morgan Stanley’s request to transfer a potential class action lawsuit to arbitration.

November 28, 2023
Wells Fargo Under SEC Scrutiny for Cash Sweep Programs

The Securities and Exchange Commission (SEC) is investigating Wells Fargo & Company over cash sweep options provided to investment advisory clients.

November 22, 2023
FINRA Alleges $2 Million in Client Losses and $2 Million in Commissions Due to Advisor's Churning

According to a Financial Industry Regulatory Authority (FINRA) complaint, Stewart "Paxton" Ginn excessively traded accounts over two and a half years, resulting in $2.22 million in losses and $2.24 million in commissions for him and his firm.

TESTIMONIALS

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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.

Thomas C.

LATEST NEWS AND ARTICLES

November 28, 2023
Arbitration Mandated for Former Morgan Stanley Advisors' Class Claim on Deferred Compensation

A federal judge in Manhattan has granted Morgan Stanley’s request to transfer a potential class action lawsuit to arbitration.

November 28, 2023
Wells Fargo Under SEC Scrutiny for Cash Sweep Programs

The Securities and Exchange Commission (SEC) is investigating Wells Fargo & Company over cash sweep options provided to investment advisory clients.

November 22, 2023
FINRA Alleges $2 Million in Client Losses and $2 Million in Commissions Due to Advisor's Churning

According to a Financial Industry Regulatory Authority (FINRA) complaint, Stewart "Paxton" Ginn excessively traded accounts over two and a half years, resulting in $2.22 million in losses and $2.24 million in commissions for him and his firm.