FINRA arbitrators recently awarded a former RBC Wealth Management advisor nearly $9.7 million in damages for age and gender discrimination claims.
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Jim Eccleston is the chief strategist and lead attorney for all clients of Eccleston Law. His 28-year legal career has earned him the highest awards and distinctions by both his clients and his peers. Among the top 5% of all attorneys, Jim Eccleston has earned awards and distinctions such as:
Jim Eccleston is a highly acclaimed securities litigation lawyer for good reason. First, he has business expertise in the financial services industry and holds/has held numerous securities licenses, including the investment adviser Series 65, securities principal Series 24, and securities representative Series 7. Additionally, in the FINRA Dispute Resolution Forum, he is and serves as a chairperson-qualified arbitrator, as well as a qualified FINRA mediator. Finally, for many years Jim Eccleston has written articles and monthly columns for publications and magazines such as:
In addition, Jim Eccleston sponsors FinancialCounsel.com and a blog (Financial Counsel by Eccleston Law) featuring articles and commentary on current events and investigations. He has appeared on CNN, First Business Morning News, WCIU Chicago, and various radio talk shows. Jim Eccleston frequently is quoted in the press.
Attorneys and financial advisors nationwide select Jim Eccleston to educate them about securities and employment law. A few of Jim Eccleston's accomplishments include:
Likewise, Jim Eccleston has presented webinars on various subjects such as:
FINRA arbitrators recently awarded a former RBC Wealth Management advisor nearly $9.7 million in damages for age and gender discrimination claims.
According to InvestmentNews, the Securities Industry and Financial Markets Association (SIFMA) released a whitepaper criticizing the Certified Financial Planner (CFP) Board’s standards enforcement, asserting it operates as a “de facto, private
regulator.”
The Financial Industry Regulatory Authority (FINRA) has barred Imdadur “Gino” Rahman, a former Merrill Lynch advisor for multiple compliance violations involving his relationship with an elderly client.