Current Investigations 

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A Look at Broker Cataldo Panici's BrokerCheck

Broker Cataldo Panici (CRD# 2112617 ) currently is registered at LPL Financial LLC, in Frankfort, IL and was previously registered at Wintrust Inve...

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A Look at Former Broker Michael Venturino's BrokerCheck

Former Broker Michael Venturino (CRD# 5872439) previously was registered at Spartan Capitol Securities LLC, in Garden City, New York. Venturino has...

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Broker Kevin Kelly Has Ten Customer Disputes on His BrokerCheck

Broker Kevin Kelly (CRD# 2293119) currently is registered at Avantax Advisory Services in Atlanta, Georgia. Kelly has 10 customer disputes accordin...

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A Look at Broker Thomas Rapp's BrokerCheck

Broker Thomas Rapp (CRD# 1792438) currently is registered at M Holdings Securities, Inc, in Fort Lauderdale, FL and at M Holdings Securities, Inc, ...

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Broker Brian Culver Has Five Customer Disputes on His BrokerCheck

Broker Brian Culver (CRD# 6392736) currently is registered at Cambridge Investment Research Advisors, Inc, in Kalamazoo, Michigan. Culver has five ...

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Broker Paul Murans Has Seven Customer Disputes on His Brokercheck

Broker Paul Murans (CRD# 3266607) currently is registered at Thurston Spring Advisors in Indianapolis, Indiana. Murans has one FINRA investigation,...

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A Look at Broker Terry Griffith's BrokerCheck

Broker Terry Griffith (CRD# 4937497) currently is registered at Independent Financial Group LLC, in Watertown, Massachusetts. Griffith has one regu...

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Broker Leroy Born Has Nine Customer Disputes on His BrokerCheck

Broker Leroy Born (CRD# 4052650 ) currently is registered at Wells Fargo Advisors in Tustin, California. Born has nine customer disputes reported o...

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Broker Matthew J. McDonald Has Four Customer Disputes on his BrokerCheck

Broker Matthew McDonald currently is registered at SPC in Walled Lake, Michigan, and at Sigma Financial Cooperation in Walled Lake, Michigan. McDon...

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A Look at Broker Doran James's BrokerCheck

Broker Doran Calvin James (CRD# 1764628) currently is registered at J.W. Cole Advisors Inc. in Rock Springs, Wyoming. James has three customer disp...

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Latest News & Articles
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FINRA Suspends Former Raymond James Broker Over Unauthorized Trades in E...

FINRA has suspended a former Raymond James advisor for three months and ordered him to pay over $23,000 in fines and disgorgement for executing ...

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SEC Charges Crypto Promoter in $198 Million Fraud Scheme

The Securities and Exchange Commission (“SEC”) has charged Ramil Palafox for orchestrating a massive securities fraud scheme through...

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Merrill's Investment Solutions Chief Outlines Growing Role for Alternati...

At Merrill and Bank of America Private Bank, alternative investments have become a core focus of portfolio construction, according to Financ...

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Testimonials

Fantastic news!!!!  Your professionalism, support and expertise were greatly appreciated.  You made a difficult situation much more bearable.

Marci M.

Thank You from the bottom of our hearts for all you have done for us. When we realized this was a very bad investment - we did not know where to turn for help. Then we received your name. When we called you - you were so kind to us and then agreed to help us. For this we are so very grateful. The world would be a much nicer place if there were more people like the two of you in it. We will always remember all the help and kindness you have shown us. Thank you so very very much for everything.

Wayne and Judy S.

As a financial advisor with over 20 years of experience, I feel fortunate to call Jim my attorney and friend. He is a fantastic lawyer and trusted advisor. He is skilled in the matters necessary to do the job well. He uses his thoughtful approach and calm demeanor to achieve a positive outcome for the client. If you want to feel confident that nothing will be missed and that you will be represented in a highly professional manner, call Jim Eccleston.

Bill C. and Dan M.

Jim, Stephany and the whole team were a God send.  We felt like we were put into a situation where we had no advocate. Jim's team came in with a strong, well laid out strategy on how to get our story heard. Where our outside compliance company had no ability to help, our Broker Dealer was impenitent, and the regulators were aggressive pursuing vague rules, Jim came like a barricade against an assault we did not understand. Though you pay member dues to be affiliated with FINRA and a B/D, you have no voice. The only thing that is truly heard in this un-level playing field is a bulldog's bark like Jim's. I would encourage anyone to call Jim and his team to find a real ally in the tough and complicated world of securities regulation. They are truly the best.

Greg P.

I just wanted to say thanks again for preparing and executing my case in such a professional manner. It was a pleasure to watch two professionals take such pride in their work, as well as becoming personally in tune with your client (Me). I would personally recommend you and your firm to anyone.

John O.

I want to thank you for your excellent professional representation. It was greatly appreciated.

Michael M.

I am grateful to have found an outstanding law firm that specializes in securities matters. My lawyers were extremely knowledgeable, diligent, and are skilled litigators. No stone was left upturned. As a result of their experience and tenacity, the arbitration proceeding was dismissed in my favor.

Michael E.