91视频下载链接

 Broker Litigation & Arbitration at 91视频下载链接

 The securities attorneys at 91视频下载链接 provide broker litigation and arbitration services. Our securities attorneys have extensive experience in defending financial advisors nationwide before the Financial Industry Regulatory Authority (FINRA) in arbitration and enforcement actions, state securities regulators, and the CFP Board.

 

THE SECURITIES ATTORNEYS AT ECCLESTON LAW HAVE ASSISTED FINANCIAL ADVISORS WITH:

At 91视频下载链接, we have the knowledge and expertise within the financial industry to provide top quality broker litigation and arbitration. Our securities attorneys are also experienced in dealing with a variety of other financial law matters including breakaway broker services, strategic consulting and counseling, regulatory matters, employment matters, whistleblower actions, expungement of CRD/BrokerCheck disclosures such as customer complaints and criminal matters.

Customer Arbitration
Finding solutions for disputes between customers and businesses and taking disciplinary action as needed.
FINRA Enforcement/Disciplinary Inquiries and Actions
Investigating potential securities violations and bringing formal disciplinary action when needed.
State Registration Inquiries and Actions
Making and resolving inquiries at a state level for a variety of broker litigation matters.
CFP Board Inquiries and Actions
Request documents, information and admissions as needed to take action related to CFP Boards and Commissions.

Contact the securities attorneys at 91视频下载链接 to schedule a telephone conference about your case today.

Attorneys are standing by during regular business hours. Call us now for immediate service, or complete the form below and we will contact you as soon as possible.

 

 

 

TESTIMONIALS

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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 27, 2025
FINRA Fines Robinhood $26 Million for Compliance Failures

According to Barron’s, FINRA has fined Robinhood Financial and Robinhood Securities $26 million for multiple rule violations, including failures in anti-money laundering compliance, inadequate supervision of trading technology, and misleading customer communications.

March 26, 2025
Former Edward Jones Advisor Barred After Refusing to Cooperate with FINRA Investigation

A former Edward Jones advisor, James A. Bowman, has accepted an industry bar rather than cooperate with a Financial Industry Regulatory Authority (FINRA) investigation into allegations that he reimbursed clients for losses in their accounts.

March 25, 2025
Pennsylvania Investor Sues Captrust Over $360,000 Phishing Scam Loss

A Pennsylvania investor has filed suit against Captrust Financial Advisors, alleging the firm failed to act swiftly in stopping a scam that drained her retirement savings.

TESTIMONIALS

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Next

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

March 27, 2025
FINRA Fines Robinhood $26 Million for Compliance Failures

According to Barron’s, FINRA has fined Robinhood Financial and Robinhood Securities $26 million for multiple rule violations, including failures in anti-money laundering compliance, inadequate supervision of trading technology, and misleading customer communications.

March 26, 2025
Former Edward Jones Advisor Barred After Refusing to Cooperate with FINRA Investigation

A former Edward Jones advisor, James A. Bowman, has accepted an industry bar rather than cooperate with a Financial Industry Regulatory Authority (FINRA) investigation into allegations that he reimbursed clients for losses in their accounts.

March 25, 2025
Pennsylvania Investor Sues Captrust Over $360,000 Phishing Scam Loss

A Pennsylvania investor has filed suit against Captrust Financial Advisors, alleging the firm failed to act swiftly in stopping a scam that drained her retirement savings.