Owner at SNSFE
Greater Chicago Area
- Current
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- Chairman of the Board of Directors at Shaheen, Novoselsky, Staat, Filipowski & Eccleston, PC
- Owner at SNSFE
- Education
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- Suffolk University Law School
- Boston College
- University of Chicago
- Recommended
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1 person has recommended James - Connections
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171
connections
- Industry
- Law Practice
- Websites
James Eccleston’s Summary
James Eccleston heads the nationwide securities law practice at SNSFE where he leads the securities team in representing financial services professionals and investors. He also serves as the Chairman of the Board of Directors.
Jim is recognized by his peers as an Illinois Super Lawyer, an Illinois Leading Lawyer, and is rated "A-V” (highest rating) by Martindale-Hubbell.
He is a FINRA Chairperson-Qualified Arbitrator and Qualified Mediator and has held numerous securities licenses, including investment adviser Series 65, securities principal Series 24, and securities representative Series 7 with FINRA.
Jim is the course teacher for Suing Securities Professionals, an online, on-demand video course offering Illinois attorneys one hour of MCLE credit. It can be previewed for free at MentorCLE.com.
He is often quoted by the media professional publications and has appeared on First Business Morning News WCIU Chicago, CNN and various radio talk shows. He writes monthly columns for Chicago Lawyer, The Chicago Daily Law Bulletin, and The Docket. For seven years, he was the legal columnist for On Wall Street. He has written articles for InvestmentNews, Wealth Manager and Research Magazine.
He sponsors FinancialCounsel.com for investors and for financial services professionals, providing information on arbitration, customer relations, employment and regulation, as well as estate and retirement planning and financial industry and markets intelligence. His blog, also called FinancialCounsel, features podcasts of many of his articles and commentary on current events and investigations.
James Eccleston’s Specialties:
Securities and Financial Services Employment Law
James Eccleston’s Experience
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Chairman of the Board of Directors
Shaheen, Novoselsky, Staat, Filipowski & Eccleston, PC
(Law Practice industry)
2003 — Present (6 years )
James Eccleston heads the nationwide securities law practice at SNSFE, where he serves as the Chairman of the Board of Directors.
Jim represents financial services professionals in arbitration, compliance and employment matters, including succession planning and negotiation of promissory note and employment agreements for advisers transitioning with their clients to new firms.
He has extensive experience representing financial services professionals in SEC (Securities and Exchange Commission), state, and FINRA (Financial Industry Regulatory Authority) disciplinary matters, employment termination cases, non-compete and non-solicitation cases, promissory note collection cases, and SEC compliance matters. He has won substantial arbitration awards for advisers for compensatory damages resulting from wrongful termination and Form U-5 defamation, including ordering removal of defamatory language as well as declaring an outstanding promissory note balance to be null and void. In 1991, he obtained the largest jury verdict ever at the time in Cook County, Illinois for a defamation and wrongful termination for a business executive.
For investors, he recovers losses caused by unsuitable investments, churning, portfolio mismanagement, breach of fiduciary duty, and negligence, winning significant (multi-million dollar) arbitration awards and judgments in arbitration forums and courts across the country.
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Owner
SNSFE
(Law Practice industry)
2003 — Present (6 years )
James Eccleston’s Education
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Suffolk University Law School
J.D. , 1987
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Boston College
M.A. , 1984
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University of Chicago
1979 — 1983
Additional Information
James Eccleston’s Websites:
James Eccleston’s Interests:
Manager/Coach for Little League Baseball and Youth Basketball in Barrington, Illinois. Avid basketball player.
James Eccleston’s Groups:
American Bar Association, Chicago Bar Association (Past Chair, Investment and Financial Services Committee; Past Co-Chair, Securities Law Committee; Past Co-Chair, Securities Law Committee, Litigation and Enforcement Subcommittee), Public Investors Arbitration Bar Association, Financial Planning Association, Investment Management Consultants Association, Securities Industry and Financial Markets Association, Union League Club of Chicago (Chair, Financial Services Committee)
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Union League Club of Chicago -
Financial Advisor Network (FAN) -
Financial Planning Association -
CompliancEX -
Investment Management Consultants Association (IMCA) -
Regulatory Compliance Association -
Practical Compliance and Risk Management -
Entrepreneur Group - ULEG -
Chicago Business Advisory Group
James Eccleston’s Honors:
Named to the Illinois Super Lawyer list every year since its inception in 2005
Named to the Illinois Leading Lawyer list for Employment Law: Employee; Investor Protection/Securities Class Action; Securities & Venture Finance Law, 2006
“A-V” Peer Review Rated (Highest Rating) by Martindale-Hubbell
FINRA Chairperson-Qualified Arbitrator and Qualified Mediator
James Eccleston’s Contact Settings
Interested In:
- consulting offers
- new ventures
- expertise requests
- business deals
- reference requests
- getting back in touch
