James Eccleston

James Eccleston is an equity partner and Chairman of the Board of Directors at Shaheen, Novoselsky, Staat, Filipowski & Eccleston, P.C. (SNSFE) where he heads the firm's securities law practice group. Jim has extensive experience representing investors and financial services professionals.

For investors, he has recovered their 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. For brokers and investment advisers, Jim is experienced in handling NASD and NYSE disciplinary matters, employment termination cases, non-compete and non-solicitation cases, promissory note claims, and SEC regulatory and compliance matters.

He has held numerous securities licenses - investment adviser (Series 65), securities principal (Series 24), and securities representative (Series 7) with the National Association of Securities Dealers (NASD). He is qualified as an arbitrator and as a mediator with the NASD and has served as both.

Jim is an active educator to investors, investment professionals and the legal community. He is a prolific writer, contributing articles, columns and quotes to several magazines, professional publications and the press, including Investment News, The Wall Street Journal, Chicago Sun Times, Chicago Tribune, Smart Money, Wealth Manager, Research Magazine, Advising Boomers, Chicago Daily Law Bulletin, Registered Representative, and Wall Street Letter. For seven years he was the monthly legal columnist for On Wall Street.

He conducts educational online seminars (webinars) for investors and financial services professionals which are recorded and can be replayed from SNSFE's website at snsfe-law.com.

Additionally, Jim is the course teacher for Suing Securities Professionals, an online, on-demand video course offering one hour of MCLE credit. It can be previewed for free at MentorCLE.com.

Jim sponsors FinancialCounsel.com, a website for investors and investment professionals which provides relevant articles and other resources written by experts and leading authorities from across the nation.

Jim is a frequent guest on First Business Morning News WCIU Chicago and has appeared on CNN and various radio talk shows.

The well-known Martindale-Hubbell Rating System has awarded Jim the distinguished "AV" rating, the highest rating, for Legal Ability and General Ethical Standards. He also is a recipient of numerous peer-review awards, including being named to the Illinois Super Lawyers and Illinois Leading Lawyer lists.

For more information about Jim and the securities group and other practice areas of Shaheen, Novoselsky, Staat, Filipowski & Eccleston, please visit snsfe-law.com.