James Eccleston

Jim Eccleston is the chief strategist and lead attorney for all clients of 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, AV Preeminent Attorney – Judicial Edition
Martindale-Hubbell, AV Preeminent Attorney
Illinois Super Lawyer, 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 the 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 has appeared on CNN, First Business Morning News, WCIU Chicago, and various radio talk shows and is frequently 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 Consequences: 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