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Eccleston Law Videos Gallery

Eccleston Law: James Eccleston on Correcting FINRA BrokerCheck Reports
It's an easy process and a great first step for financial advisers to correct or update U-4 and U-5 information available through BrokerCheck.

Jim Eccleston is Lead Attorney for Eccleston Law, a nationwide securities and financial law firm with offices in Chicago, New York City and Sarasota, Florida. Jim, along with Christine Goodrich & Stephany McLaughlin, are here to tell us about their nationwide law firm, and why Eccleston Law is the absolute best choice for any securities litigation, corporate law, finance law, labor law, civil and commercial litigation issues that you face. Have you been ripped off by your broker? Did a financial adviser make a bad investment on your behalf? If so, watch this video, meet Jim Eccleston, and call our Chicago offices today at 312-332-0000.

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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 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
Eccleston Law, LLC: James Eccleston on Broker Product Cases

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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.

Allan and Adele

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FINRA Suspends Former Branch Manager for Supervisory Failures Linked to Excessive Trading and Churning

A former regional branch manager at a broker-dealer has agreed to Financial Industry Regulatory Authority (FINRA) sanctions after the regulator found that he failed to supervise registered representatives who engaged in excessive trading and churning of customer accounts.

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David Lerner Associates has agreed to settle Securities and Exchange (SEC) charges alleging violations of Regulation Best Interest (Reg BI) that resulted in unnecessary costs to retail investors, according to InvestmentNews.

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