Current Investigations 

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A Look at Broker William Young's BrokerCheck

Broker William Young (CRD# 4787488) currently is registered at Ameriprise Financial Services, LLC, in Gaithersburg, Maryland, and was previously re...

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A Look at Broker Ralph Jackson III's BrokerCheck

Former Broker Ralph Jackson III (CRD# 1569213) currently is not registered. Jackson was formerly registered at Morgan Stanley in Los Angeles, Calif...

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Broker Valentino Michael Scott Has Seventeen Customer Disputes on his Br...

Broker Valentino Michael Scott (CRD# 1497615) currently is registered at Centaurus Financial in West Hills, California. Scott has seventeen custome...

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Broker Patrick Hobert has Eighteen Customer Disputes Reported on His Bro...

Broker Patrick Hobert (CRD# 805680) currently is registered at Centaurus Financial, Inc., in Newport beach, California. Hobert has eighteen custome...

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Broker Eric Felsenfeld has Seven Customer Disputes according to BrokerCheck

Broker Eric Fenlsenfeld (CRD# 4496689) currently is registered at Ameriprise Financial Services, LLC in Gaithersburg, Maryland. Felsenfeld was prev...

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A Look at Rodger Rekate's BrokerChceck and SEC Disclosures

Broker Rodger Rekate (CRD# 2675879) currently is registered as an investment adviser at Advisor One, LLC, in Springfield, Missouri. Rekate has thre...

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A Look at Broker Jeannette Adcock's BrokerCheck

Broker Jeanette Adcock (CRD# 1432053) currently is registered at Thurston Spring Advisors in Itasca, Illinois. Adcock has seven customer disputes, ...

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Former Broker Ruben Frezzotti has Seven Customer Disputes on His BrokerC...

Former Broker Ruben Frezzotti (CRD# 4439983) most recently was registered at Raymond James and Associates, Inc, in Coral Gables, Florida. Frezzotti...

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A Look at Broker Guilford Nergard's BrokerCheck

Broker Guilford Nergard (CRD# 2360614) currently is not registered and previously was registered at San Blas Securities LLC, in Chicago, Illinois. ...

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Former Broker Alvery Barlett Jr.'s Eight Customer Disputes and One Regul...

Former Broker Alvery Barlett Jr. (CRD# 13975) currently is not registered but formerly was registered at Aegis Capitol Corporation in Clayton, Miss...

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Latest News & Articles
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FINRA Advances Proposal to Allow Limited Use of Performance Projections

The Financial Industry Regulatory Authority (“FINRA”) is moving forward with a proposal that would give broker-dealers limited abili...

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SEC Permanently Bars Brite Advisors USA Over Custody Rule Violations and...

The SEC has permanently barred Brite Advisors USA from operating as an investment adviser, citing serious custody rule violations and undisclose...

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UBS Confirms Data Breach After Cyberattack on External Vendor

UBS Group AG has confirmed that a cyberattack on one of its third-party suppliers resulted in stolen company information, though no client data ...

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Testimonials

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.

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

Marci 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 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.

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.

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.