Current Investigations 

Read More

Broker Christopher Nelson Kirkland Has Multiple Customer Disputes on His...

Christopher Nelson Kirkland (CRD# 5602044) is a broker currently registered at Avantax Advisory Services and Avantax Investment Services, Inc, in A...

Read More

Read More

A Look at Broker David M. Smith's BrokerCheck

According to BrokerCheck, broker David Michael Smith Sr. (CRD# 850797) is currently registered at Ausdal Financial Partners Inc, in Vero Beach, Flo...

Read More

Read More

Broker Sean Righter Has 5 Customer Disputes

According to BrokerCheck, Broker Sean Righter (CRD# 5419832) is not currently registered but was previously registered at Morgan Stanley in Irvine,...

Read More

Read More

A Look at Broker Kevin Lawrence Kelly's 9 Customer Complaints

According to BrokerCheck, Broker Kevin Lawrence Kelly (CRD# 2293119) is currently registered at Avantax Advisory Services and Avantax Advisory Serv...

Read More

Read More

A Look at Broker William Keen Butcher's BrokerCheck

According to BrokerCheck, Broker William Keen Butcher (CRD# 2098675) is currently registered at Independent Financial Group, LLC in Kemah, Texas an...

Read More

Read More

A Look at Broker David Sosa'a Brokercheck

According to BrokerCheck, broker David Sosa (CRD # 2447013) is registered with Cetera Investment Advisers and Cetera Investment Servies in Lake Mar...

Read More

Read More

Broker John Shortel Has Four Customer Disputes on His BrokerCheck.

According to BrokerCheck broker John Patrick Shortal (CRD# 2233172) is currently registered at Moloney Securities Co., Inc. in Jerseyville, Illinoi...

Read More

Read More

A Look at Broker Roy Williams' BrokerCheck.

Broker Roy Williams (CRD# 1069297) is currently registered at KCD Financial, Inc. in Stratford, Connecticut and was formerly registered at Center S...

Read More

Read More

Broker Anthony Gallea Has Four Customer Disputes on His BrokerCheck

According to BrokerCheck, Anthony Michael Gallea (CRD# 713980) is currently registered at Morgan Stanley in Hendersonville, North Carolina and has ...

Read More

Read More

A Look At Regulatory Disclosures And Customer Complaints Against Buckman...

According to BrokerCheck, broker Harry John Buckman (CRD #2202467), currently registered with Buckman Advisory Group, LLC, Mayhill Agency, LLC, and...

Read More

Latest News & Articles
Read More

FINRA Launches Targeted Probe into Small-Cap Foreign IPO Underwriters

The Financial Industry Regulatory Authority (FINRA) has launched a targeted investigation into broker-dealer firms that helped small foreign com...

Read More

Read More

FINRA Bars Former Edward Jones Broker in Crypto-Related Investigation

The Financial Industry Regulatory Authority (FINRA) has barred former Edward Jones representative Robert David Bienvenu for refusing to provide ...

Read More

Read More

Conservation Easement Crackdown: Understanding IRS Enforcement and Inves...

Conservation easements can serve as powerful legal tools that protect open land, preserve wildlife habitats, and offer legitimate tax benefits t...

Read More

Testimonials

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

Marci M.

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.

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.

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.