TEAM / PARTNERSHIP DISPUTE

Teams have disputes.  Some disputes can be resolved easily. Others need a third party involved to help. And some disputes cause partners to conclude, like spouses in a marriage, to go their separate ways. 

How Eccleston Attorneys Can Help

Too often, branch office politics or incompetent managers dictate the result, and arrive at decisions or compromises that make little sense or are unfair. Attorneys at Eccleston Law work nationwide to assist financial advisors who have team / partnership disputes. Considerations may include:

Broker Transition
Employment Matters
Regulatory Matters
Strategic Consulting

Whether it is consulting behind the scenes, conferences or meetings with managers or partners, filing in-house grievance / mediation requests, or filing FINRA arbitration claims to seek a fair resolution, we guide financial advisors through this difficult time in their careers.



 

 

 

TESTIMONIALS

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You are the best attorneys in the country.

CC

LATEST NEWS AND ARTICLES

February 20, 2025
Vanguard Settles SEC Allegations Over Misleading Statements on Tax Implications

Vanguard Group has agreed to pay over $106 million to settle allegations by the U.S. Securities and Exchange Commission (SEC) that it misled retail investors regarding capital gains distributions and tax liabilities associated with its popular target-date retirement funds.

February 20, 2025
Former Rubicon Wealth Management President Pleads Guilty to Fraud Charges

Scott Mason, former president of Rubicon Wealth Management, pleaded guilty to multiple fraud charges after federal prosecutors accused him of misappropriating over $17 million from clients, including his own widowed aunt.

February 19, 2025
FINRA Highlights Compliance Priorities for 2025

The Financial Industry Regulatory Authority (FINRA) has released its annual regulatory oversight report, emphasizing key compliance concerns for broker-dealers.

TESTIMONIALS

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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.

Greg P.

LATEST NEWS AND ARTICLES

February 20, 2025
Vanguard Settles SEC Allegations Over Misleading Statements on Tax Implications

Vanguard Group has agreed to pay over $106 million to settle allegations by the U.S. Securities and Exchange Commission (SEC) that it misled retail investors regarding capital gains distributions and tax liabilities associated with its popular target-date retirement funds.

February 20, 2025
Former Rubicon Wealth Management President Pleads Guilty to Fraud Charges

Scott Mason, former president of Rubicon Wealth Management, pleaded guilty to multiple fraud charges after federal prosecutors accused him of misappropriating over $17 million from clients, including his own widowed aunt.

February 19, 2025
FINRA Highlights Compliance Priorities for 2025

The Financial Industry Regulatory Authority (FINRA) has released its annual regulatory oversight report, emphasizing key compliance concerns for broker-dealers.