ATTORNEYS FOR THE FINANCIAL SERVICES INDUSTRY

Simply stated, Eccleston Law is the best law firm nationwide to service the needs of financial advisors and investors in employment and securities matters. We represent financial advisors as well as investors, on both sides of the aisle. With offices in Boca Raton, Chicago, and New York City, we set ourselves apart from our competition having gained invaluable insight and knowledge of the securities industry through our team of highly experienced attorneys. Due to our experience and accomplishments, the skilled attorneys at Eccleston Law, as well as James Eccleston himself, have earned the highest awards and distinctions by both clients and peers.

FINRA Enforcement Matters

We can guide you through the process, assist you in preparing responses and defenses, and ensure the process proceeds as smoothly and quickly as possible.
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CFP Board Matters

We have valuable experience in representing financial advisors in investigations, complaints, and other disciplinary actions initiated by the CFP Board.
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Transition Negotiation

Have an experienced attorney from Eccleston Law on your side to review the contract terms that the firm’s lawyer has drafted to protect his/her one and only client – the firm.
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Case Results

$123
million
Category Verdict
$123
million
Category Verdict
$123
million
Category Verdict
$123
million
Category Verdict

TESTIMONIALS

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I just wanted to say thanks again for preparing and executing my case in such a professional manner. It was a pleasure to watch two professionals take such pride in their work, as well as becoming personally in tune with your client (Me). I would personally recommend you and your firm to anyone.

John O.

LATEST NEWS AND ARTICLES

November 24, 2021
SEC Charges New York Advisor and His Firm With Securities Fraud

The Securities and Exchange Commission (SEC) has filed suit against Joshua Burrell and his company, Activated Capital LLC, alleging securities fraud pertaining to Opportunity Zone Investments.

November 23, 2021
House Committee Approves Bill To Prohibit BDs and Advisors From Mandating Arbitration

The House of Representatives’ Financial Services Committee has passed a bill intended to prohibit mandatory arbitration commonly employed by broker-dealers and advisory firms.

November 22, 2021
FINRA Intends To Promote Hybrid Arbitration Hearings

The Financial Industry Regulatory Authority (FINRA) may permit remote participation in arbitration proceedings moving forward, according to FINRA chief executive Robert Cook.