Current Investigations 

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Broker Shane DeSherlia Has Six Customer Disputes According to BrokerCheck

Broker Shane DeSherlia (CRD# 6800960) currently is registered at BFC Planning Inc., in Cedar Rapids, Indiana. DeSherlia has 6 customer disputes acc...

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Broker John Lamont Has Three Customer Disputes According to BrokerCheck

Broker John Lamont (CRD# 847214) currently is registered at Spirit of America Management Corp, in East Westport, Connecticut. Lamont has 3 customer...

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A Look At Broker Benjamin Sweeney's BrokerCheck

Broker Benjamin Sweeney (CRD# 2885369) currently is registered at Morgan Stanley in Dallas, Texas. Sweeney has 3 customer disputes according to Bro...

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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 previously registered at Morgan Stanley in Los Angeles, Cal...

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A Look At Michael Krumholtz' s BrokerCheck

Broker Michael Krumholtz (CRD# 1977128) currently is registered at Perigon Wealth Management, LLC, in Reading, Pennsylvania. Krumholtz has three cu...

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A Look at James McAuthor's BrokerCheck

Broker James McAuthor (CRD# 2797856) is not currently registered and was most recently registered at IBN Financial Services Inc., in Massapequa, Ne...

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A Look At James Taylor Davis's BrokerCheck

Broker James Davis (CRD# 6646090) currently is not registered. Davis has 13 customer disputes according to BrokerCheck.

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A Look At Larry Tolbert's BrokerCheck

Broker Larry Tolbert (CRD# 1054714) currently is registered at Integrity Alliance, LLC, in Memphis, Tennessee. Tolbert has five customer disputes a...

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Broker William Burks II Has Eight Customer Disputes Reported on His Brok...

Broker William Burks II (CRD# 2944992) currently is registered at Centaurus Financial, Inc., in Flower Mound, Texas. Burks has eight customer dispu...

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A Look At Victor Torres's BrokerCheck

Broker Victor Torres (CRD# 5919902) currently is not registered. Torres has eight customer disputes and one termination according to BrokerCheck.

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Latest News & Articles
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FINRA Suspends Former Merrill Broker for Misrepresentations in Proof of ...

FINRA has disciplined a former Merrill Lynch representative after determining that he issued inaccurate and misleading statements about a client...

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FINRA Fines J.P. Morgan Securities $3.25 Million Over Supervisory Failur...

The Financial Industry Regulatory Authority (FINRA) has sanctioned J.P.

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UBS Shifts SMA Oversight In-House, Discloses Potential Conflicts

UBS Wealth Management USA has begun restructuring how it manages separately managed accounts ("SMAs"), moving key oversight functions in-house a...

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Testimonials

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 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 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.

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.