Current Investigations 

Read More

A Look At Daniel Lerner's BrokerCheck

Broker Daniel Lerner (CRD# 1255769) currently is registered at David Lerner Associates, Inc., in White Plains, New York. Lerner currently has 17 cu...

Read More

Read More

A Look At Broker Adam Chustz's BrokerCheck

Broker Adam Chustz (CRD# 4129813) currently is registered at Stifel, Nicolaus & Company Inc. in Saint Louis, Missouri. Chustz currently has five cu...

Read More

Read More

A Look At Broker Williams Sines BrokerCheck

Broker William Sines (CRD# 2190586) currently is registered at Berthel, Fisher, & and Company Financial Services, Inc. in Cedar Rapids, Iowa. Sines...

Read More

Read More

Broker Scott Oliphant Has Three Customer Disputes Reported on His Broker...

Broker Scott Oliphant (CRD# 4551455) currently is registered at Cetera Investment Advisors LLC in Columbus, Indianna. Oliphant has three customer d...

Read More

Read More

Broker Mark Kemp Has Fourteen Customer Disputes Reported On His BrokerCheck

Broker Mark Kemp (CRD# 2057200) currently is registered at McNally Financial Services Corporation in Corpus Christi, Texas. Kemp has fourteen custo...

Read More

Read More

A Look At Broker Clovis Morrison's BrokerCheck

Broker Clovis Morrison (CRD# 1730240) currently is registered at Centaurus Financial, Inc. in Highland Village, Texas. Morrison has three customer ...

Read More

Read More

A Look At Broker Nathan Goad's BrokerCheck

Broker Nathan Goad currently is registered at Alden Investment Group in Largo, Florida. Goad has three customer disputes according to BrokerCheck.

Read More

Read More

A Look at Broker Philippus Van Staden's BrokerCheck

Broker Philippus Van Staden (CRD# 4489166) currently is registered at Green Vista Asset Management LLC, in Winter Park, Florida. Van Staden has 18 ...

Read More

Read More

A Look at Broker William Young's BrokerCheck

Broker William Young (CRD# 4787488) currently is registered at Ameriprise Financial Services LLC, in Gaithersburg, Maryland. Young has 14 customer ...

Read More

Read More

Broker Stephen DeBiasi Has Three Customer Disputes According to BrokerCheck

Broker Stephen DeBiasi (CRD#1659356) currently is registered at The Leadership Group Inc., in Maimi, Florida. DeBaisi has three customer disputes r...

Read More

Latest News & Articles
Read More

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...

Read More

Read More

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-...

Read More

Read More

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...

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.

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 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.

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.