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

Previous
Next

Thank you for your professional assistance with this matter. You are very good at what you do.

John T.

LATEST NEWS AND ARTICLES

December 16, 2025
Reminders for CFAs in Adhering to Compliance Standard, Client-Disclosure and Conflict Management Requirements

In 2023, the CFA Institute Board of Governors approved targeted revisions to the Standards of Professional Conduct, adding one new standard and updating two others.

December 15, 2025
FINRA Sanctions Former Merrill Broker for Unapproved Referral Payouts

The Financial Industry Regulatory Authority (FINRA) issued a six-month suspension and a $7,500 fine against former Merrill Lynch broker Jeremiah Householder after finding that he accepted referral commissions from an unapproved third-party lender.

December 12, 2025
SEC Charges Driver Who Posed as a Financial Professional and Lost Over $1 Million

Federal regulators charged a New York area driver with masquerading as a seasoned investment professional and causing significant losses for three investors.

TESTIMONIALS

Previous
Next

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

Beth and Steve K.

LATEST NEWS AND ARTICLES

December 16, 2025
Reminders for CFAs in Adhering to Compliance Standard, Client-Disclosure and Conflict Management Requirements

In 2023, the CFA Institute Board of Governors approved targeted revisions to the Standards of Professional Conduct, adding one new standard and updating two others.

December 15, 2025
FINRA Sanctions Former Merrill Broker for Unapproved Referral Payouts

The Financial Industry Regulatory Authority (FINRA) issued a six-month suspension and a $7,500 fine against former Merrill Lynch broker Jeremiah Householder after finding that he accepted referral commissions from an unapproved third-party lender.

December 12, 2025
SEC Charges Driver Who Posed as a Financial Professional and Lost Over $1 Million

Federal regulators charged a New York area driver with masquerading as a seasoned investment professional and causing significant losses for three investors.