The modern maze of the financial and investment profession can be difficult to navigate. As a highly regulated profession, every corner you turn can present an ethical dilemma putting your professional reputation in jeopardy.
We're sitting down with Jim Eccleston, one of the foremost securities attorneys in the USA, to discuss how to protect your reputation and what to do when the wheels fall off. We've identified several areas were smart people can make bad decisions.
Jim Eccleston is the chief strategist and lead attorney for all clients of Eccleston Law, which represents advisors and investors nationwide in securities, employment and financial industry disputes. 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 is a highly acclaimed securities litigation lawyer for good reason. First, he has business expertise in financial services industry, and holds 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 serves as a chairperson-qualified arbitrator, as well as a qualified FINRA mediator. Finally, for many years Jim has written articles and monthly columns for publications and magazines such On Wall Street, InvestmentNews, Wealth Manager, Research Magazine and Registered Representative.
5:30 pm - Networking and Cash Bar
6:00 pm - Dinner and Program
7:30 pm - Meeting Concludes
Park in the Old Fort Brooke Municipal Garage (corner of Whiting and Franklin) On the third floor of the parking garage, take the walkway to One Tampa City Center.