Current Investigations 

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A Look at Broker Scot Barringer's BrokerCheck

Broker Scot Barringer (CRD# 1385168) currently is registered at Chicago Capitol Management Advisors LLC, in Denver, Colorado and at American Trust ...

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A Look at Robert Lloyd Omohundro's BrokerCheck

Broker Robert Omohundro (CRD# 2415942) currently is registered at Alexander Capitol Wealth Management LLC, in Roswell, Georgia. Omohundro has seven...

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A Look at Matthew Weglarz's BrokerCheck

Broker Matthew Weglarz (CRD# 5448174) currently is registered at Vanderbilt Advisory Services in Greenville, South Carolina, and previously was reg...

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A Look at James Geake's BrokerCheck

Broker James Geake currently is registered at Madison Avenue Securities, LLC in Skokie, Illinois. Geake's has 17 customer disputes reported on his ...

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Former Broker Philip Anthony Riposo Has Been Barred By FINRA

A Massachusetts broker, Philip Riposo (CRD#40056) most recently was registered at United Planners Financial Services of America and has 12 customer...

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A Look at Broker Justin Connors's BrokerCheck

Broker Justin Mathew Connors (CRD#2805785) currently is registered at Independent Financial Partners in Coco Beach, Florida. Connors has two custom...

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Former Broker Lon Faccini Jr. Has Nine Customer Disputes on His BrokerCheck

Fromer Broker Lon Faccini Jr. (CRD#2736849) most recently was registered at TSG Capitol Advisors in Ronkonkoma, New York. There are nine customer d...

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A Look at Broker Charles Weldon's BrokerCheck

Broker Charles Weldon (CRD# 1030659) currently is registered at Independent Financial Group LLC, in Boca Raton, Florida. Weldon has seven customer ...

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Broker Aaron Davis Has Three Customer Disputes Reported on His BrokerCheck

Broker Aaron Davis (CRD# 4746025) currently is registered at Edward Jones in Frisco, Texas. Davis has three customer disputes reported on his Broke...

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Former Broker Sloan Thompson Has 32 Customer Disputes According to Broke...

Former Broker Sloan Thompson (CRD# 2588490) was most recently registered at Truist Investment Services, Inc, in Savana, Georgia. Thompson has 32 c...

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Latest News & Articles
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Cetera Fined $1.1 Million Over Supervisory and AML Deficiencies

The Financial Industry Regulatory Authority (FINRA) has censured and fined Cetera Financial Group $1.1 million after identifying supervisory sys...

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CFTC Signals New Rulemaking for Prediction Markets and Crypto Oversight

The Commodity Futures Trading Commission (CFTC) plans to develop new regulations governing the growing prediction markets industry, Chairman Mic...

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Ameriprise Advisor Phishing Incident Potentially Exposes Client Data

A phishing incident involving an Ameriprise Financial advisor potentially exposed the personal information of hundreds of clients, according to ...

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Testimonials

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.

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.

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

Marci M.