Current Investigations 

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A Look at Former Broker Isaiah Williams Jr.'s BrokerCheck

Former Broker Isaiah Williams Jr. (CRD # 6211219) most recently was registered at Merrill Lynch, Peirce, Fenner, and Smith Inc., in Boca Raton, Flo...

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A Look at Broker John Marcheso's BrokerCheck.

Broker John Marchesa (CRD#869337) currently is registered at Centaurus Financial LLC, in Vero Beach, Floridia. Marchesa has five customer disputes ...

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Matthew Stucke Has Eight Customer Disputes and One Bankruptcy According ...

Broker Matthew Stucke (CRD#4840895) currently is registered at Cetera Investment Advisors LLC, in Milton, Georgia. Stucke has eight customer disput...

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A Look at Broker Edward Hill's BrokerCheck

Broker Edward Hill (CRD#6008804) currently is registered at LPL Financial LLC, in West End, North Carolina. Hill has five customer disputes reporte...

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Broker Wilfredo Miranda Has Four Customer Disputes Reported on his Broke...

Broker Wilfredo Miranda (CRD#3273284) currently is registered at Ausdal Financial Partners, Inc., in Oakbrook Terrace, Illinois. Miranda has four c...

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A Look at Broker Stephen Mattocks's BrokerCheck

Broker Stephen Mattocks (CRD# 2193216) currently is registered at Osaic Wealth Inc., in Wichita, Kansas. He has four customer disputes according to...

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A Look at Former Broker Stacy Goldsmith's BrokerCheck.

Former Broker Stacy Goldsmith (CRD# 1416323) previously was registered at Herbert J. Sims & Company Inc. in Red Bank, New Jersey. Goldsmith has fou...

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A Look at Broker Hector Crespo Jr.'s BrokerCheck

Broker Hector Crespo Jr. (CRD# 3015246) currently is registered at Aegis Capitol Corporation in Melville, New York. Crespo Jr. has five customer di...

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Broker Joseph Barreca Jr. Has Five Customer Disputes Reported on his Bro...

Broker Joesph Barreca Jr. (CRD# 3276048) currently is registered at Wells Fargo Advisors in Metairie, Louisiana, and previously was registered at F...

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A Look at Broker Daniel Pikula's BrokerCheck

Broker Daniel Pikula (CRD# 2563165) currently is registered at Money Manager Inc., in Wellington, Florida. Pikula has two regulatory actions and ei...

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Latest News & Articles
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Private Credit Funds Face Scrutiny Over Software Exposure Amid Investor ...

Private credit fund managers are facing increased scrutiny over their exposure to software companies as investors continue to pull money from th...

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FINRA Signals Stronger Enforcement Focus on Reg BI, Excessive Trading, a...

The Financial Industry Regulatory Authority (FINRA) plans to intensify its enforcement efforts against Regulation Best Interest (Reg BI) violati...

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Former Arvest Wealth Representative Sanctioned by FINRA Over Improper Us...

The Financial Industry Regulatory Authority (FINRA) has suspended former Arvest Wealth representative Brandon Still for 18 months and fined him ...

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Testimonials

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.

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.

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.