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

TESTIMONIALS

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If the regulators are after you, and are trying to make a case against you, and you are going to contest their allegations against you, make sure you have the best securities industry defense lawyers, Eccleston Law Firm. My case was spun into a combination of penalties including fines, cash settlements, CE courses and suspension. They were the best I have seen in action. When all was said and done, they had done their magic, my situation was negotiated and settled with a simple "letter of caution" and a case closed without action. It is the most important legal business decision you will ever make, make it Eccleston Law.

Rick R.

LATEST NEWS AND ARTICLES

April 29, 2025
Merrill Lynch Fires Veteran Advisor for Ignoring Mandated Commission Discounts

Merrill Lynch has terminated Daniel G. Diaz, a 37-year industry veteran, for refusing to apply commission discounts to certain client accounts as instructed by management, according to his Central Registration Depository (CRD) record.

April 28, 2025
Former Morgan Stanley Advisor Barred After Fraudulent Check Allegations

Roger A. Gallagher has accepted an industry bar from FINRA rather than cooperate with a regulatory investigation. According to a FINRA Acceptance, Waiver, and Consent letter (“AWC”).

April 25, 2025
Rosedale Advisory Firm Fined for Role in NCAA Player Referral Bribery Scheme

The Securities and Exchange Commission (SEC) has finalized a cease-and-desist proceeding against Rosedale, a former SEC-registered investment adviser, for violations of the Investment Advisers Act of 1940.