Securities Attorneys for Whistleblower Law

The securities attorneys at Eccleston Law represent financial advisors who seek to file whistleblower actions. Whistleblower filings typically involve representation for employees who report illegal misconduct by their employers. At Eccleston Law, our securities attorneys assist with the filing and maintain the confidentiality of the individual filing the claim in New York, Chicago, Florida, and all states nationwide.

 

A FEW TYPES OF WHISTLEBLOWER CASES THE SECURITIES ATTORNEYS AT ECCLESTON LAW PROVIDE PROTECTION FOR INCLUDE:

Stocks, Bonds, and Banking Fraud
Securities Fraud
SEC Fraud
Tax Fraud
Investment Fraud
Mortgage and Loan Fraud

In addition to whistleblower filings, the securities attorneys at Eccleston Law also practice a wide range of other areas in the financial services industry including broker litigation and arbitration, employment matters, breakaway broker legal services, and much more. If you need a securities attorney to file a whistleblower claim, contact Eccleston Law to schedule a telephone conference today.



 

 

 

TESTIMONIALS

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

Beth and Steve K.

LATEST NEWS AND ARTICLES

February 17, 2026
FINRA Fines Kingswood Capital Partners $150,000 for Supervisory Failures in GWG L Bond Sales

The Financial Industry Regulatory Authority (FINRA) censured and fined San Diego–based broker-dealer Kingswood Capital Partners $150,000 after finding supervisory failures tied to sales of high-risk GWG L bonds.

February 16, 2026
FINRA Removes Arbitrators in Stifel Case, Drawing Scrutiny Over Impartiality Standards

FINRA agreed to remove two potential arbitrators from an upcoming Stifel Financial arbitration tied to former Miami-based broker Chuck Roberts, a move that could carry broad implications for investor arbitration.

February 13, 2026
Cetera Fined $1.1 Million Over Supervisory and AML Deficiencies

The Financial Industry Regulatory Authority (FINRA) has censured and fined Cetera Financial Group $1.1 million after identifying supervisory system and anti-money laundering (AML) failures across several subsidiary broker-dealers.

TESTIMONIALS

Previous
Next

The work that you and your team have performed on my behalf is exemplary.

JT

LATEST NEWS AND ARTICLES

February 17, 2026
FINRA Fines Kingswood Capital Partners $150,000 for Supervisory Failures in GWG L Bond Sales

The Financial Industry Regulatory Authority (FINRA) censured and fined San Diego–based broker-dealer Kingswood Capital Partners $150,000 after finding supervisory failures tied to sales of high-risk GWG L bonds.

February 16, 2026
FINRA Removes Arbitrators in Stifel Case, Drawing Scrutiny Over Impartiality Standards

FINRA agreed to remove two potential arbitrators from an upcoming Stifel Financial arbitration tied to former Miami-based broker Chuck Roberts, a move that could carry broad implications for investor arbitration.

February 13, 2026
Cetera Fined $1.1 Million Over Supervisory and AML Deficiencies

The Financial Industry Regulatory Authority (FINRA) has censured and fined Cetera Financial Group $1.1 million after identifying supervisory system and anti-money laundering (AML) failures across several subsidiary broker-dealers.