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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You guys are good!

Mike L.





July 22, 2021
Kestra Ordered to Pay $10.3 Million Fine Over Undisclosed Mutual Fund Compensation

The Securities and Exchange Commission (SEC) has ordered two Kestra Financial divisions to pay a total of $10.3 million for failing to report compensation earned after investing client assets in certain mutual funds.

July 21, 2021
Georgia Advisor Fraudulently Invests $5.1 Million in Client Funds, SEC Alleges

According to a complaint filed by the Securities and Exchange Commission (SEC), a Georgia-based advisor allegedly persuaded two dozen clients to invest nearly $5.1 million in two unregistered funds that purportedly guaranteed growth and limited risk.

July 20, 2021
FINRA Arbitration Panel Orders Pershing to Pay Stanford Victims

The Financial Industry Regulatory Authority (FINRA) has ordered Pershing to pay $648,543 to an additional group of investors who claimed to have lost money in R. Allen Stanford’s Ponzi scheme.