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.
Find Out More

CFP Board Matters

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

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.
Find Out More

Case Results

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

TESTIMONIALS

Previous
Next

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

September 23, 2021
FINRA Extends Advisory Firm Remote Inspections Into 2022

The Financial Industry Regulatory Authority (FINRA) will enable advisory firms to continue conducting remote branch office inspections into 2022 so long as the Securities and Exchange Commission (SEC) does not object to the proposal.

September 22, 2021
SEC Continues to Penalize Firms Over Conflicts Related to Fund Fees

The Securities and Exchange Commission (SEC) is continuing its crackdown on numerous investment advisors that fail to disclose conflicts related to fund fees.

September 21, 2021
Philadelphia Advisor Confesses to Conducting $100 Million Scheme

A Philadelphia-based investment advisor, Brenda Smith, has confessed to operating a $100 million securities fraud scheme.