Current Investigations 

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A Look at Broker Richard Belz's BrokerCheck

Broker Richard Belz (CRD# 1140219) currently is registered at R.F. Lafferty & CO, Inc., in New York, New York. Belz has thirteen customer disputes ...

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Broker Suihock Goy Has Several Customer Disputes According to BrokerCheck

Broker Suihock Goy (CRD# 2821380) currently is registered at NI Advisors in Milpitas, California. Goy has twelve customer disputes reported on his ...

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Broker Alan Harrison Has Four Customer Disputes Reported on His BrokerCheck

Broker Alan Harrison (CRD# 1616987) currently is registered at Concorde Investment Services, LLC, in Trussville, Alabama. Harrison has four custome...

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A Look at Broker Joseph Cason's BrokerCheck

Broker Joseph Cason (CRD# 2455720) currently is registered at Osaic Wealth Inc., in Brunswick, Georgia. Cason has four customer disputes according ...

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A Look at Broker Michael Whitaker's BrokerCheck

Broker Michael Whitaker (CRD# 1739854) currently is registered at NSFG Corporation in The Villages, Florida. Whitaker has ten customer disputes acc...

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Broker Michael Sloan Has Ten Customer Disputes According to BrokerCheck

Broker Michael Sloan currently is registered at LPL Financial in Elgin, Illinois, and previously was registered at Wintrust Investments in Chicago,...

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Broker Jeffrey Bangerter Has Three Customer Disputes on His BrokerCheck

Broker Jeffrey Bangerter (CRD# 1687028) currently is registered at Concorde Asset Management LLC, in Roseville, California, and previously was regi...

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Broker Robert Obraitis Has Six Customer Disputes on His BrokerCheck

Broker Robert Obraitis (CRD# 2124486) currently is registered at Summit Financial LLC, in Lansdowne, Virginia, and previously was registered at Cam...

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A Look at Broker Anthony Jovanovich's BrokerCheck

Broker Anthony Jovanovich (CRD# 2948544) currently is registered at LPL Financial LLC, in Elgen, Illinois, and previously was registered at Wintrus...

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A Look at Broker Robert Fagan's BrokerCheck

Broker Robert Fagan (CRD# 1572927) currently is registered at Cetera Investment Services LLC, in San Diego, California. Fagan has four customer dis...

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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

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.

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 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.

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.