Current Investigations 

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A Look at Broker Joshua Green's BrokerCheck

Broker Joshua Green (CRD # 4970616) currently is registered at Cetera Investment Advisors LLC, in New Port Richey, Florida. Green has four customer...

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Broker Brian Cantel Has Three Customer Disputes According to BrokerCheck

Broker Brian Cantel (CRD#1743229) currently is registered at Berthel Fisher & Company Financial Serivces, Inc., in Flowery Branch, Georgia. Cantel ...

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Broker John Nole Now Has Seven Customer Disputes Reported On His BrokerC...

Broker John Nole (CRD#1609191) currently is registered at Paulson Investment Company LLC, in St. Petersburg, Florida. Nole now has seven customer d...

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Former Broker Soloman Tobel Resigned From Morgan Stanley

Broker Soloman Tobel (CRD# 7643877) currently is registered at Wells Fargo and most recently was registered at Morgan Stanely. Tobel has three cust...

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Broker Joyce Thomas Has Six Customer Disputes According to BrokerCheck

Broker Joyce Thomas (CRD# 2713664) currently is registered at Independence Financial Group LLC, in San Gaberial, California. Thomas has six custome...

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A Look at James McAuthor's BrokerCheck

Broker James McAuthor (CRD# 2797856) is not currently registered and was most recently registered at IBN Financial Services Inc., in Massapequa, Ne...

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A Look At Former Broker Daniel Beech's BrokerCheck.

Former Broker Daniel Beech (CRD# 6169844) is not currently registered and most recently was registered at Innovation Partners LLC. In Charlotte, No...

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A Look At Broker Alexander Fischman's BrokerCheck

Broker Alex Fischman (CRD# 5902109) currently is registered at Wells Fargo Advisors in Hackensack New Jersey. Fischman has seven custoemr disputes ...

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Broker Rita Mansour Has Eight Customer Disputes Reported on Her BrokerCheck

Broker Rita Mansour (CRD# 1968418) currently is registered at McDonald Partners LLC, in Toledo, Ohio. Mansour has eight customer disputes reported ...

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Broker Michael Rosenmayer Has 23 Customer Disputes Reported on His Broke...

Broker Michael Rosenmayer currently is registered at Oppenheimer & Co, Inc., in Los Angeles, California. Rosenmayer has 23 customer disputes report...

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Latest News & Articles
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Mercer Advisors Expands Westward with Two RIA Acquisitions

Mercer Advisors has strengthened its presence in the West by acquiring two registered investment advisory firms with offices in Oregon, Idaho, a...

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New Jersey Investor Sues Advisor and Insurers Over Premium Financing Losses

A New Jersey resident has filed suit against a financial advisor, his firm, two insurance companies, and other parties over losses tied to a pre...

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SEC Fines Vanguard $19.5 Million for Disclosure Failures in Advisor Comp...

The Securities and Exchange Commission (SEC) has censured and fined Vanguard Advisers $19.5 million, alleging the firm failed to properly disclo...

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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.

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.

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

Marci 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.

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.

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.