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.
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
We just wanted to say thanks for your work in helping us get back some of the money we lost. We are not by any means rich, but we have saved some money and we have done so through a tight-fisted approach to most everything we do. So losing a significant chunk of money hurt…especially at a time when everyone else was growing their accounts. We really appreciate the work you did.
A longtime Morgan Stanley financial advisor agreed to a $5,000 fine and a two-month suspension after FINRA found that he executed multiple transfers from his former spouse’s retirement account without proper authorization, as reported by AdvisorHub.
The crypto market’s recent downturn erased nearly $20 billion in leveraged positions within hours and half a trillion dollars in market value over a single weekend.
UBS Group AG has begun liquidating two invoice finance funds with direct exposure to First Brands Group, marking one of the earliest moves by a major financial institution to contain the fallout from the bankrupt auto-parts supplier’s collapse, as reported by Bloomberg Law.
Jim, Stephany and the whole team were a God send. We felt like we were put into a situation where we had no advocate. Jim’s team came in with a strong, well laid out strategy on how to get our story heard. Where our outside compliance company had no ability to help, our Broker Dealer was impenitent, and the regulators were aggressive pursuing vague rules, Jim came like a barricade against an assault we did not understand. Though you pay member dues to be affiliated with FINRA and a B/D, you have no voice. The only thing that is truly heard in this un-level playing field is a bulldog’s bark like Jim’s. I would encourage anyone to call Jim and his team to find a real ally in the tough and complicated world of securities regulation. They are truly the best.
A longtime Morgan Stanley financial advisor agreed to a $5,000 fine and a two-month suspension after FINRA found that he executed multiple transfers from his former spouse’s retirement account without proper authorization, as reported by AdvisorHub.
The crypto market’s recent downturn erased nearly $20 billion in leveraged positions within hours and half a trillion dollars in market value over a single weekend.
UBS Group AG has begun liquidating two invoice finance funds with direct exposure to First Brands Group, marking one of the earliest moves by a major financial institution to contain the fallout from the bankrupt auto-parts supplier’s collapse, as reported by Bloomberg Law.
