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91ÊÓÆµÏÂÔØÁ´½Ó News and Updates

Attorney Eccleston Receives Highest Rating in Legal and Ethical Standards

March 3rd, 2025 at 11:12 AM
James Eccleston has been awarded an AV Preeminent rating, the highest possible recognition for legal ability and ethical standards. Managed by Martindale-Hubbell, this recognition signifies professional achievement in the legal community.
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Wells Fargo Loses Bid for TRO Against Fired Illinois Broker

January 31st, 2025 at 10:16 AM
A federal judge has denied Wells Fargo Advisor’s request for a temporary restraining order against a Schaumburg, Illinois-based broker it fired in November, according to a court filing on Wednesday.
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James Eccleston Awarded Spot in 2025 Illinois Super Lawyers List

January 21st, 2025 at 3:00 PM
Attorney James Eccleston has been selected for the 2025 Illinois Super Lawyers List, an honor given exclusively to lawyers who exhibit excellence in their practice. 
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Attorney Eccleston Receives 2025 Top-Rated Lawyer Recognition

January 16th, 2025 at 10:51 AM
James Eccleston has been recognized as a top-rated lawyer with a superb attorney rating in 2025 by the Martindale-Avvo legal community.
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James Eccleston Named 2025 Preeminent Attorney

January 2nd, 2025 at 4:10 PM
James Eccleston has been awarded the highest possible rating in legal ability by Martindale-Hubbell. 
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James Eccleston Named Leading Lawyer for 2025

January 2nd, 2025 at 11:00 AM
James Eccleston has been officially recognized by peers as a Leading Lawyer for 2025!
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Attorney Eccleston Receives America's Most Honored Lawyers Award

May 3rd, 2024 at 9:39 AM
James Eccleston has been recognized as one of America's Most Honored Lawyers by The American Registry. 
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Attorney Eccleston Receives AVVO Top Rated Lawyer Award 2024

May 1st, 2024 at 9:36 AM
 James Eccleston has been officially recognized as a Top Rated Lawyer by Martindale-AVVO.  
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Attorney Eccleston Receives Martindale-Hubbell 2024 Judicial Edition Recognition

March 25th, 2024 at 3:56 PM
Attorney James Eccleston recently received the highest possible Martindale-Hubbell AV rating in their 2024 Judicial Edition. 
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Chicago FINRA Arbitrators Award Ten Former Financial Advisors Over $3 Million For Forfeited Deferred Compensation Damages, Interest and Attorneys’ Fees

March 25th, 2024 at 9:17 AM
Ten former Morgan Stanley financial advisors have been awarded over $3 million related to the firm’s wrongful forfeiture of the advisors’ deferred compensation.
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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

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.

June 26, 2025
SEC Charges Marine Veteran in $2.5 Million Ponzi Scheme

The Securities and Exchange Commission (“SEC”) has charged Marine Corps veteran Christopher Aubin with fraud, accusing him of running a $2.5 million Ponzi scheme that defrauded dozens of investors, including several of his former military colleagues.

June 25, 2025
FINRA Fines and Suspends Advisor for Selling Away and Receiving Client Loans

The Financial Industry Regulatory Authority (“FINRA”) has sanctioned Jose Antonio “Tony” Navarro for selling unapproved investments and borrowing funds from clients.