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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I want to thank you for your excellent professional representation. It was greatly appreciated.

Michael M.

LATEST NEWS AND ARTICLES

August 8, 2025
SEC Overturns FINRA Bar Against Former Rep, Issues Immediate Suspension Instead

In a rare move, the Securities and Exchange Commission (SEC) has scaled back an industry bar by the Financial Industry Regulatory Authority (FINRA) against former rep Thomas Lykos Jr., converting the sanction into a suspension that ended immediately upon the SEC's decision.

August 7, 2025
FINRA Panel Awards $160K in Broker Poaching Dispute Between Former Ameriprise Teammates

A FINRA arbitration panel has ordered Kraig R. Bode, an independent broker now affiliated with Sanctuary Wealth, to pay $160,000 in damages to his former teammate, Seth C. Murray, stemming from allegations of client solicitation following Bode’s departure from Ameriprise Financial in October 2021.

August 6, 2025
Ex-Schwab Representative Suspended Two Years and Fined for Concealing Profit-Sharing Agreement

The Financial Industry Regulatory Authority (FINRA) has suspended former Charles Schwab & Co. Inc. representative Daniel Michael Roper for two years.

TESTIMONIALS

Previous
Next

I cannot thank you enough for your efforts. You have proven to be a valuable resource

Jim T.

LATEST NEWS AND ARTICLES

August 8, 2025
SEC Overturns FINRA Bar Against Former Rep, Issues Immediate Suspension Instead

In a rare move, the Securities and Exchange Commission (SEC) has scaled back an industry bar by the Financial Industry Regulatory Authority (FINRA) against former rep Thomas Lykos Jr., converting the sanction into a suspension that ended immediately upon the SEC's decision.

August 7, 2025
FINRA Panel Awards $160K in Broker Poaching Dispute Between Former Ameriprise Teammates

A FINRA arbitration panel has ordered Kraig R. Bode, an independent broker now affiliated with Sanctuary Wealth, to pay $160,000 in damages to his former teammate, Seth C. Murray, stemming from allegations of client solicitation following Bode’s departure from Ameriprise Financial in October 2021.

August 6, 2025
Ex-Schwab Representative Suspended Two Years and Fined for Concealing Profit-Sharing Agreement

The Financial Industry Regulatory Authority (FINRA) has suspended former Charles Schwab & Co. Inc. representative Daniel Michael Roper for two years.