James Eccleston

LLC Managing Member

312-332-0000

312-332-0003

Jim Eccleston is the chief strategist and lead attorney for all clients of the 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:

Martindale-Hubbell, the coveted AV Peer Review Rating
Martindale-Hubbell, AV Preeminent Attorney
Illinois Super Lawyer, in every year since its inception in 2005
Illinois Leading Lawyer, Employment Law category

Jim Eccleston is a highly acclaimed securities litigation lawyer for good reason. First, he has business expertise in 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:

Chicago Lawyer
The Chicago Daily Law Bulletin
On Wall Street
InvestmentNews
Wealth Manager
Research Magazine
Registered Representative

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:

A white paper on "Unintended Consequence: The Protocol that Binds," for the Practical Compliance and Risk Management for the Securities Industry (2009)
Presented a speech on "Arbitration Basics" at the Practicing Law Institute's program on Federal Civil Practice Update (2010)
Spoke before the Practicing Law Institute on "The Wild West; Navigating the Uncertain Waters of Arbitration, Generally and Particularly with Securities Matters" (2011)
Presented a speech on "Avoiding Lawsuits as a Financial Adviser" for the Financial Planning Association in January (2011)
Presented a speech on "Transition, Exiting or Merging: It's About Choices (and Advance Planning)" at the Florida Symposium for Financial Planning (FPA of Tampa Bay, Florida) (2012)
Co-authored a white paper "An Analysis of the Potential Impact of a Uniform Fiduciary Standard Upon Broker-Dealers, Registered Investment Advisers and Dually-Registered Advisers," for Practical Compliance and Risk Management for the Securities Industry (2013)
Co-authored a white paper "2014: A New Era in Securities Supervision and Compliance Developments", for Practical Compliance and Risk Management for the Securities Industry (2014)

Likewise, Jim Eccleston has presented webinars on various subjects such as:

Key Guidance on Hedge Fund Investing
Avoiding Traps in Your Transition
The Evolution of Fiduciary Liability For Investment Losses
Recovering Your Losses From Misguided Real Estate Investments
Buying or Selling An Investment Advisory Firm
Implementing Effective Email and Document Retention Policies and Procedures

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Testimonials

As a financial advisor with over 20 years of experience, I feel fortunate to call Jim my attorney and friend. He is a fantastic lawyer and trusted advisor. He is skilled in the matters necessary to do the job well. He uses his thoughtful approach and calm demeanor to achieve a positive outcome for the client. If you want to feel confident that nothing will be missed and that you will be represented in a highly professional manner, call Jim Eccleston.

Bill C. and Dan M.

I want to thank you for your excellent professional representation. It was greatly appreciated.

Michael M.

I am grateful to have found an outstanding law firm that specializes in securities matters. My lawyers were extremely knowledgeable, diligent, and are skilled litigators. No stone was left upturned. As a result of their experience and tenacity, the arbitration proceeding was dismissed in my favor.

Michael E.

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.

Fantastic news!!!! Your professionalism, support and expertise were greatly appreciated. You made a difficult situation much more bearable.

Marci M.

I just wanted to say thanks again for preparing and executing my case in such a professional manner. It was a pleasure to watch two professionals take such pride in their work, as well as becoming personally in tune with your client (Me). I would personally recommend you and your firm to anyone.

John O.

Thank You from the bottom of our hearts for all you have done for us. When we realized this was a very bad investment - we did not know where to turn for help. Then we received your name. When we called you - you were so kind to us and then agreed to help us. For this we are so very grateful. The world would be a much nicer place if there were more people like the two of you in it. We will always remember all the help and kindness you have shown us. Thank you so very very much for everything.

Wayne and Judy S.

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Contact

Call (312) 332-0000