Eccleston Law Offices

CHICAGO • BOCA RATON • NEW YORK CITY

The attorneys of Eccleston Law represent investors and financial advisors nationwide in securities and employment matters. Our team of employment and securities attorneys draws on a combined experience of nearly 65 years in delivering the highest quality legal services for financial advisors and investors.

We recognize that each client’s case is unique and we pledge to obtain the best possible outcome at a reasonable price. The employment and securities attorneys at Eccleston Law will be sure to consider all possible arrangements suitable for your legal matter. We can also provide an estimate of fees and costs – hourly, contingency, fixed, or blended – into a written agreement.
 

Let Financial Advisor Transitions help you protect your financial advisor practice.

The financial services industry is changing rapidly. Times of transition either can lead to tremendous growth or devastating loss, especially if you're a registered representative and/or an investment adviser with more to lose. You may be pressured into moving your practice — your livelihood — by headhunters without your best interests at heart. Mishandling transitions can sabotage everything you've worked so hard to earn. Where do you go when your situation changes? What about your clients?

Let the experts at Financial Advisor Transitions help you to ensure that your practice remains yours. With our decades of experience, we've seen how a good deal can preserve and protect your livelihood for many years to come and how quickly a bad deal can end it. Our strategy consultants will assess your wants and needs and help negotiate a transition plan to propel your practice forward in its next phase, whatever your situation. It's your firm. What you do with it is your choice. Maintain your independence. Schedule your consultation with Financial Advisor Transitions today.

James Eccleston sponsors www.FinancialCounsel.com, a 15-year old website that contains an abundance of information and resources written not only by James Eccleston but also by a host of well-known financial services industry experts relating to wealth management, financial and legal topics.
 

Are you a financial advisor or investor in need of expert legal advice?

SERVICES FOR ADVISORS SERVICES FOR INVESTORS

 

 

 

TESTIMONIALS

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You are the best attorneys in the country.

CC

LATEST NEWS AND ARTICLES

March 13, 2026
Connecticut Advisor Pleads Guilty to Ponzi-Like Investment Fraud and Tax Evasion

Federal prosecutors announced that investment adviser John A.

March 12, 2026
Cape Coral Becomes Ground Zero for Private Lending Strains in Post-Pandemic Housing Market

Cape Coral, Florida, long a magnet for out-of-state real estate investors, now illustrates the growing risks of private lending in residential development.

March 11, 2026
SEC and Commonwealth Financial Network Move Toward Settlement in Revenue Sharing Disclosure Case

The Securities and Exchange Commission (SEC) and Commonwealth Financial Network notified a federal court that they are attempting to resolve a long running enforcement dispute involving alleged disclosure failures tied to revenue sharing payments, according to ThinkAdvisor.

TESTIMONIALS

Previous
Next

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

Beth and Steve K.

LATEST NEWS AND ARTICLES

March 13, 2026
Connecticut Advisor Pleads Guilty to Ponzi-Like Investment Fraud and Tax Evasion

Federal prosecutors announced that investment adviser John A.

March 12, 2026
Cape Coral Becomes Ground Zero for Private Lending Strains in Post-Pandemic Housing Market

Cape Coral, Florida, long a magnet for out-of-state real estate investors, now illustrates the growing risks of private lending in residential development.

March 11, 2026
SEC and Commonwealth Financial Network Move Toward Settlement in Revenue Sharing Disclosure Case

The Securities and Exchange Commission (SEC) and Commonwealth Financial Network notified a federal court that they are attempting to resolve a long running enforcement dispute involving alleged disclosure failures tied to revenue sharing payments, according to ThinkAdvisor.