Current Investigations 

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A Look at Former Broker Cara Miller's BrokerCheck

Former Broker Cara Miller (CRD# 4521819) most recently was registered at ProEquities, Inc., in Rapid City, South Dakota. Miller has seven customer ...

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Broker William Bredt Has Seven Customer Disputes According to BrokerCheck

Broker William Bredt (CRD# 1621507) currently is registered at Raymond James and Associates Inc., in West Conshohocken, Pennsylvania. Bredt has sev...

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A Look at Broker Bradley Ford's BrokerCheck

Broker Badley Ford (CRD# 1649604) currently is registered at Madison Avenue Securities LLC, in Evansville, Indianna. Ford has four customer dispute...

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A Look at Broker Joseph Jackson's BrokerCheck

Broker Joseph Jackson (CRD# 2351290) currently is registered at Capitol Investment Advisory Services LLC, in Fayetteville, North Carolina. Jackson ...

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A Look at Broker Randy Berkinbine's BrokerCheck

Broker Randy Berkinbine (CRD# 2008599) currently is registered at Ausdual Financial Partners, Inc., in North Oaks, Minnesota. Berkinbine has nine c...

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Broker Kenneth McCabe Has Three Customer Disputes Reported on His Broker...

Broker Kenneth McCabe (CRD# 2980438) currently is registered at Centaurus Financial Inc., in West Hills, California. McCabe has three customer disp...

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A Look At Broker Allen Budelman's BrokerCheck

Broker Allen Budelman (CRD# 3210648) currently is registered at Corient in Maimi, Florida. Budelman has three customer disputes reported on his Bro...

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Broker Duncan Maceachern Has Three Customer Disputes According to Broker...

Broker Duncan Maceachern (CRD# 1856591) currently is registered at LPL financial LLC, in Rochester, Michigan. Maceachern has three customer dispute...

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Former Broker Joseph Roop Has Fifteen Customer Disputes Reported on His ...

Former Broker Joseph Roop (CRD# 2774470) most recently was registered at Dempsey Lord Smith, LLC in Belmont, North Carolina. Roop has fifteen custo...

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Broker Robert DeChick Has Seven Customer Disputes According to BrokerChe...

Broker Robert DeChick (CRD# 4152582) currently is registered at D.H. Hill Advisors. Inc., in Clermont Florida. DeChick has seven customer disputes ...

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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.

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

Michael M.

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

Marci 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.