Eccleston Law: FPA of Illinois Lauds Eccleston's Presentation on What Advisors Should and Shouldn't do to Avoid Litigation

Posted on March 10th, 2011 at 9:00 AM
From the Winter 2011 Issue of Financial Planning Association of Illinois' Newsletter

Jim Eccleston kicked off the FPA of Illinois' Distinguished Speakers Series on January 28, 2011.  Warren Arnold, the Director of Education, Ethics & Professional Standards, discussed Jim's presentation:
 
Jim is an attorney who specializes in securities litigation. He has both defended and prosecuted financial advisors, as well as serve as an arbitrator for financial services disputes.  Jim spoke on what advisors should do and what they shouldn’t do in order to avoid litigation or arbitration situations.  He also gave ideas on what to do in order to defend yourself in case a suit is brought against you.  Jim used several examples from his practice to illustrate what can happen to an advisor. He used his humor to lighten up a very serious subject, which is important but not one that advisors like to talk about. The many questions that Jim received after his presentation was indicative of the level of interest the audience had for his presentation.

For more information, contact Jim Eccleston at 312-332-0000.

Related Attorneys: James J. Eccleston

Tags:

Return to Archive

TESTIMONIALS

Previous
Next

I am so blessed to have you and your dynamic team defending me. Your ethics, forward thinking and strategies are amazing.  You guys are the best group of attorneys in the country that I could hire to handle this complicated case.

Cindy C.

LATEST NEWS AND ARTICLES

March 12, 2025
GPB Capital Investors May Receive Some Compensation Under Proposed Distribution Plan

GPB Capital Holdings investors have not received returns on their investments since 2018. According to InvestmentNews, after years of litigation, a court-appointed receiver has submitted a plan to return funds to the 17,000 investors who purchased $1.8 billion in GPB limited partnerships.

March 11, 2025
Former CNBC Analyst Pleads Guilty to $2.7 Million Securities Fraud Scheme

James Arthur McDonald Jr., a former financial advisor and frequent CNBC guest analyst, has agreed to plead guilty to securities fraud, admitting to defrauding investors out of at least $2.7 million, as reported by ThinkAdvisor. The felony charge carries a maximum sentence of 20 years in federal prison.

March 10, 2025
Wells Fargo and Merrill Lynch Settle SEC Charges Over Cash Sweep Program Policies

The Securities and Exchange Commission (SEC) has announced settlements with Wells Fargo Clearing Services LLC, Wells Fargo Advisors Financial Network LLC, and Merrill Lynch, Pierce, Fenner & Smith Incorporated over allegations that they failed to implement proper policies and procedures for their cash sweep programs.