Eccleston Law Videos Gallery

Eccleston Law, LLC: James Eccleston on Broker Product Cases
James Eccleston, Eccleston Law, LLC discusses product-related sales violation cases, such as UBS/Puerto Rican Bonds. James Eccleston is Lead Attorney for Eccleston Law, LLC - a nationwide securities and financial law firm with offices in Chicago, New York City, and Sarasota.

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Eccleston Law: Welcome to our Chicago Securities Law Firm
Eccleston Law: Jim Eccleston Talks About Representing Investors Nationwide in Law Suits
Eccleston Law: Who We Represent in our Chicago, NYC Florida Securities Law Firm
Eccleston Law: James Eccleston on Correcting FINRA BrokerCheck Reports
Eccleston Law: James Eccleston Warns Reps to Beware of Letter to Clients
Eccleston Law: James Eccleston Announces New Transition Compliance Package for Financial Advisers
Eccleston Law: James Eccleston Announces New Broker Compliance Package by Eccleston Law LLC
Eccleston Law: James Eccleston on Broker Recruiting Protocol

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LATEST NEWS AND ARTICLES

July 1, 2025
State Regulators Fine Five Major Broker-Dealers Nearly $10 Million for Excessive Commission Charges

A coalition of state securities regulators has ordered five broker-dealers — including Edward Jones, LPL Financial, RBC, Stifel, and TD Ameritrade — to pay almost $9.9 million in penalties for overcharging customers on small-value trades.

June 30, 2025
SEC Charges New Mexico Investment Advisor with Fee Fraud and Fiduciary Breaches

The Securities and Exchange Commission (“SEC”) has charged David A. Nagler and his firm, New Line Capital LLC, with defrauding clients through deceptive fee disclosures and undisclosed conflicts of interest.

 

June 27, 2025
FINRA Sanctions Advisor for Accepting $1 Million Inheritance from Client Without Firm Approval

FINRA has fined and suspended veteran advisor Kenneth J. Malm for accepting a $1 million inheritance from a client without receiving the necessary firm approval.