Securities Attorneys for Retirement Planning Negligence

Negligence often occurs in planning for retirement, not only as to the acceptable level of risk to assume but also as to the sustainable monthly income withdrawal rate. The securities attorneys at Eccleston Law represent investors for a variety of retirement planning negligence matters in New York, Chicago, Arizona, and other states nationwide.

When dealing with retirement planning negligence, it is important to work with securities attorneys who have experience in providing representation for investors. At Eccleston Law, our securities attorneys also practice a variety of other areas of securities for investors including unauthorized trading, securities fraud, breach of fiduciary duty, and much more. If you're an investor in need of a securities attorney for securities fraud, contact Eccleston Law to schedule a personal telephone conference today.

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LATEST NEWS AND ARTICLES

July 1, 2025
State Regulators Fine Five Major Broker-Dealers Nearly $10 Million for Excessive Commission Charges

A coalition of state securities regulators has ordered five broker-dealers — including Edward Jones, LPL Financial, RBC, Stifel, and TD Ameritrade — to pay almost $9.9 million in penalties for overcharging customers on small-value trades.

June 30, 2025
SEC Charges New Mexico Investment Advisor with Fee Fraud and Fiduciary Breaches

The Securities and Exchange Commission (“SEC”) has charged David A. Nagler and his firm, New Line Capital LLC, with defrauding clients through deceptive fee disclosures and undisclosed conflicts of interest.

 

June 27, 2025
FINRA Sanctions Advisor for Accepting $1 Million Inheritance from Client Without Firm Approval

FINRA has fined and suspended veteran advisor Kenneth J. Malm for accepting a $1 million inheritance from a client without receiving the necessary firm approval.