Current Investigations 

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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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Broker Sam Schoner Has Three Customer Disputes According to BrokerCheck

Broker Sam Schoner (CRD# 1928356) currently is registered at J.P. Morgan Securities LLC, in San Francisco, California, and previously was registere...

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Broker William Dobbs Has Several Customer Disputes and Other Issues

Broker William Dobbs (CRD# 1064156) currently is registered at Centaurus Financial, Inc., in Clinton, Tennessee. Dobbs has one regulatory action (o...

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A Look at Broker William Young's BrokerCheck

Broker William Young (CRD# 4787488) currently is registered at Ameriprise Financial Services, LLC, in Gaithersburg, Maryland, and was previously re...

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A Look at Broker Ralph Jackson III's BrokerCheck

Former Broker Ralph Jackson III (CRD# 1569213) currently is not registered. Jackson was formerly registered at Morgan Stanley in Los Angeles, Calif...

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Broker Valentino Michael Scott Has Seventeen Customer Disputes on his Br...

Broker Valentino Michael Scott (CRD# 1497615) currently is registered at Centaurus Financial in West Hills, California. Scott has seventeen custome...

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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

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

Marci 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.

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.

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.

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

Michael M.