For Investors. For Advisers.
he attorneys of Eccleston Law Offices represent investors and advisers nationwide in securities and employment matters. For investors, we represent individual and institutional investors to recover their investment losses caused by unsuitable investment recommendations, breach of fiduciary duty, negligence or other misconduct. We have extensive experience representing investors in arbitration and litigation disputes with securities broker-dealers and investment advisory firms, and have recovered tens of millions of dollars for investors. For advisers, we counsel, represent and defend them nationwide in regulatory, compliance, disciplinary and employment matters in arbitration, litigation, and before regulatory bodies such as the SEC, FINRA and state securities regulators. We frequently defend forgivable loan collection actions, prosecute Form U-5 defamation actions and counsel advisers as to how to transition successfully from firm to firm and negotiate the best possible agreements with their new firm.
Our attorneys draw on a combined experience of nearly 50 years in delivering the highest quality legal services to investors and to advisers. We recognize that each client’s case is unique. We pledge to obtain the best possible outcome at a reasonable price. We can provide an estimate of fees and costs. We will consider all possible arrangements suitable for your matter – hourly, contingency, fixed, or blended fee – and we will put our agreement with you in writing.
EcclestonLaw.com.
Meet our Team
James J. Eccleston
James Eccleston is the chief strategist and lead attorney for all clients of the firm. His 23-year legal career has earned him the highest awards and distinctions by both his clients and his peers. For example, Martindale-Hubbell has bestowed upon him the coveted AV® Peer Review Rating (which is the highest possible rating for both integrity and ethics). He likewise has been named an Illinois Super Lawyer, not just once but in every year since its inception in 2005. A third independent rating service has designated him as an Illinois Leading Lawyer for Employment Law. All of those distinctions are granted to those attorneys considered to be the best (top 5% or better).
Mr. Eccleston is highly acclaimed for good reason. First, he knows the securities business. He is a chairperson-qualified FINRA arbitrator as well as a qualified FINRA mediator. He served clients as an investment adviser and has held numerous securities licenses, including investment adviser Series 65, securities principal Series 24, and securities representative Series 7.
Second, he constantly is ahead of the pack in identifying and alerting others to important developments in the securities industry. For over 15 years, he has written monthly columns for Chicago Lawyer, The Chicago Daily Law Bulletin, and several other publications for attorneys. For 7 years, he was the legal columnist for the well-respected, cutting edge publication for financial advisers, On Wall Street. He additionally has written articles for publications such as InvestmentNews, Wealth Manager and Research Magazine. Mr. Eccleston often is quoted in other publications such as Registered Representative. He sponsors
FinancialCounsel.com
and a
blog
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.
Third, attorneys and financial advisers nationwide select Mr. Eccleston to educate them about securities and employment law. Recent presentations include: “Firm Defense Tactics” at PIABA’s 19th Annual Meeting in 2010; “Arbitration Basics” at Practicing Law Institute’s program on Federal Civil Practice Update 2010; and “Avoiding Customer Complaints” at the Financial Planning Association’s 2009 Annual Spring Forum. He has presented webinars on “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,” and “Implementing Effective Email and Document Retention Policies And Procedures.” Mr. Eccleston is the continuing legal education teacher for
Suing Securities Professionals.
Mr. Eccleston is a member of the Chicago Bar Association (CBA), the Public Investors Arbitration Bar Association (PIABA), the Financial Planning Association (FPA), the Investment Management Consultants Association (IMCA), the Securities Industry and Financial Markets Association’s Compliance and Legal Division (SIFMA-CL), and the Union League Club of Chicago. He is admitted to practice in Illinois, Massachusetts, the United States District Court Northern District of Illinois, and the United States District Court District of Massachusetts. He received his A.B. from the University of Chicago in 1983, an M.A. from Boston College in 1984, and his J.D. cum laude from Suffolk University in 1987.
Ronald M. Amato
Ronald Amato is a rising star in securities and employment law who knows the securities business. Prior to attending law school, he worked for a national broker-dealer where he held various securities licenses, including Series 7 and Series 63, and actively was involved in running the day-to-day operations of a branch office. For more than a decade, Mr. Amato has focused his practice on representing investors and advisers in a variety of complex securities and employment disputes. He has extensive experience representing parties in FINRA arbitration, as well as in other arbitration fora, in mediation, and before state and federal courts. In addition, Mr. Amato regularly represents advisers in proceedings with regulators such as FINRA Department of Enforcement, and counsels transitioning advisers with respect to a myriad of employment law issues.
Mr. Amato has been quoted in financial publications such as Registered Rep and Financial Advisor regarding broker-dealer and securities law issues, and his comments have appeared in The Wall Street Journal Online's Brokers World and Practice Management columns. He has spoken to groups such as the Financial Planning Association (FPA) of Illinois, the FPA of Illinois' Oak Brook Council and the Will County Estate Planning Council regarding securities arbitration and best practices for financial advisers, and has delivered numerous webinar presentations on securities law topics.
Mr. Amato currently serves as Vice Chair of the Chicago Bar Association's (CBA) Securities Law Committee, will serve as Chair of that committee during the 2011-2012 term, and previously has served as MCLE Director of the committee and Chair of its Litigation and Enforcement Sub-Committee. As well, he is an active member of the CBA's Financial & Investment Services Committee, and is a member of the Public Investors Arbitration Bar Association (PIABA). Mr. Amato received a B.A. from Northern Illinois University in 1993 and his J.D from the Chicago-Kent College of Law in 1999, where he received the prestigious CALI Award (for obtaining the highest grade in his course) in Advanced Research / Securities Litigation. He is admitted to practice in Illinois and before the United States District Court for the Northern District of Illinois.
Christopher J. Moyen
Christopher Moyen is an accomplished securities regulatory attorney. He draws from his experience as a lead Enforcement Attorney for the Secretary of State of Georgia in the Securities and Business Regulation Division where he reviewed and evaluated formal investigative cases to identify violations of securities laws in conjunction with the SEC, NASD, NYSE and other regulatory agencies. As lead Enforcement Attorney, he investigated the activities of a national broker-dealer that resulted in the largest securities settlement award in Georgia history.
Mr. Moyen now helps advisers stay clear of trouble, or defends them when they are in trouble, with securities regulators nationwide. His experience includes assisting investment advisers draft Form ADV language, drafting policies and procedures, reviewing marketing materials, assisting advisers with SEC and state regulatory audits and responding to SEC deficiency letters, defending advisers with minor rules infractions to defending advisers accused of the most egregious acts for which the regulators seek to bar that adviser from the securities industry.
Mr. Moyen’s 14-year legal career has given him considerable experience in other areas as well. Having passed the Certified Public Accountant (CPA) examination, Mr. Moyen capably has conducted financial due diligence and has performed audits. He has had broad experience in complex commercial and class action litigation as well as securities arbitration and litigation.
Mr. Moyen frequently counsels others on investment adviser compliance concerns. For example, he has presented a webinar and wrote an article on The Top 10 Current Compliance Issues for Investment Advisers based on his experiences.
Mr. Moyen received a B.S. cum laude from Oral Roberts University in 1990 and a J.D. cum laude from the University of Georgia School of Law in 1996 where he received the Corpus Juris Secundum Award for Scholastic Excellence in Property Law. He is admitted to practice in Illinois and Georgia.
Joshua B. Kons
Joshua B. Kons has a breadth of experience in corporate and securities law, counseling clients in both transactional and litigation matters. Mr. Kons also has a depth of experience in the securities industry. Prior to attending law school, he worked for as a mutual fund trader where he learned the securities business from the ground up. After receiving his law degree, Mr. Kons worked as an in-house attorney for a multinational, Fortune 5 company where he was responsible for corporate and commercial transactional matters. Prior to joining Eccleston Law Offices, Mr. Kons worked with a boutique corporate and securities law firm, where the focus of his practice was general corporate transactional matters along with private placement securities offerings. In additional to his transactional practice, Mr. Kons also had the opportunity to help defend broker-dealers in FINRA arbitration matters.
Mr. Kons received a B.B.A. from the University of Wisconsin-Madison in 2002 and his J.D. from the Pepperdine University School of Law in 2006. Mr. Kons concentrated his legal education in the areas of corporate and securities law, and served as a senior fellow at the Geoffrey Palmer Center for Entrepreneurship and the Law. Mr. Kons is a member of the State Bar of California and the State Bar of Wisconsin, and is admitted to practice before the United States District Courts for the Central District of California, Eastern District of Wisconsin and Western District of Wisconsin. He is currently studying for admittance to the State Bar of Illinois.
CONTACT INFORMATION
Eccleston Law Offices, P.C.
One North Franklin Street, Suite 2620
Chicago, IL 60606
312-332-0000 (o)
312-332-0003 (f)
Website
Blog
CV, BV and AV are registered certification marks of Reed Elsevier Properties, Inc. used in accordance with the Martindale-Hubbell certification procedure standards and policies. Martindale-Hubbell is the facilitator of a peer review process that rates lawyers. Ratings reflect the confidential opinions of members of the Bar and the Judiciary. Martindale-Hubbell ratings fall into two categories-legal ability and general ethical standards. Legal Ability Ratings are: "C" - Good to High; "B" - High to Very High; and "A" - Very High to Preeminent. There is one general ethical standard rating - "V" or "very high" - and an attorney must receive it in order to be rated.
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