Current Investigations 

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Broker Eduardo Leon Jr. has Five Customer Disputes According to BrokerC...

Broker Eduardo Leon Jr. (CRD# 2232647) currently is registered at Global Financial Services LLC, in Houston, Texas. Leon has five customer disputes...

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A Look At Broker Enrique Lopez's BrokerCheck

Broker Enrique Lopez (CRD# 2209385) currently is registered at Arkadios Wealth Advisors LLC in Mission, Texas. Lopez has seven customer disputes a...

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A Look At Broker Dustin Stanley's BrokerCheck

Broker Dustin Stanley (CRD# 6402870) currently is registered at Alphastar Capital Management LLC in Sarasota, Florida. Stanley has three customer d...

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A Look At Broker Daniel Goodwin's BrokerCheck

Broker Daniel Goodwin (CRD# 5752768) currently is registered at Accurate Wealth Management LLC, in The Woodlands, Texas. Goodwin has three customer...

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A Look At Broker Aaron Sevingy's BrokerCheck

Broker Aaron Sevingy (CRD# 4314368) currently is registered at United Planners' Financial Services of America in Bonita Springs, Florida. Sevingy h...

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Broker Sandeep Shrivastava Has Four Customer Disputes According to Brok...

Broker Sandeep Shrivastava (CRD# 5003823) currently is registered at TPEG Securities, LLC, in Southlake, Texas. Shrivastava has four customer dispu...

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Broker Robin Platt Has Three Customer Disputes According to BrokerCheck

Broker Robin Platt (CRD# 2584058) currently is registered at Cetera Investment Advisors LLC in New Orleans, Louisiana. Platt has three customer dis...

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A Look At Broker John E. Moriarty's BrokerCheck

Broker John E. Moriarty (CRD# 2720704) currently is registered at Trance3nd LLC, in Kirkwood Missouri, and at Madison Avenue Securities LLC, in Kir...

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Broker David A. Kangas Has Five Customer Disputes According to BrokerCheck

Broker David A. Kangas (CRD# 6591398) currently is registered at WealthForge Securities LLC, in Richmond, Virginia. Kangas has five customer disput...

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A Look At Broker William Candler's BrokerCheck

Broker William Candler (CRD# 2802438) currently is registered at Cabin Advisors, LLC in Overland Park, Kansas. Candler has 5 customer disputes acco...

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Latest News & Articles
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Snowden Lane Partners to Pay $364,590 Over Undisclosed Conflicts and Mis...

Snowden Lane Partners will pay $364,590 to settle Securities and Exchange Commission (SEC) charges that it failed to disclose compensation arran...

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SEC Issues its 2026 Enforcement Report

The Securities and Exchange Commission (SEC) filed 348 enforcement actions in fiscal year 2026, including 235 standalone actions and 113 follow-...

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Morgan Stanley Develops AI Super Agents to Build Portfolios and Manage C...

Morgan Stanley is developing AI-powered "super agents" that could eventually build investment portfolios, manage client accounts and handle many...

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Testimonials

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.

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.

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

Michael 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.

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.

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

Marci M.