Current Investigations 

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A Look At Broker Robert Pecha's BrokerCheck

Broker Robert Pecha (CRD#5579770) currently is registered at Quincy Wells Capital, LLC, in Chicago, Illinois. Pecha has three customer disputes acc...

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Broker Peter Chernin Has Three Customer Disputes on His BrokerCheck

Broker Peter Chernin (CRD#6787497) currently is registered at Quincy Wells Capital LLC, in Chicago, Illinois. Chernin has three customer disputes a...

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A Look At Broker Michaela Rauscher's BrokerCheck

Broker Michaela Rauscher (CRD# 5399032) currently is registered at LPL Financial LLC, in Westlake Village, California. Rauscher has six customer di...

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A Look At Broker Jack Bruscianelli's BrokerCheck

Broker Jack Bruscianelli (CRD# 2113986) currently is registered at B. Riley Wealth Management, in Oakbrook Terrace, Illinois. Bruscianelli has six ...

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A Look At Fariba Madison's BrokerCheck

Broker Fariba Madison (CRD# 1178259) currently is registered at Vanderbilt Advisory Services, in Los Alamitos, California. Madison has faced seven ...

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A Look At Broker William Lipiana's BrokerCheck

Broker William Lipiana (CRD# 4580411) currently is registered at Ausdal Financial Partners Inc., in New York, New York. Lipiana has three customer ...

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A Look At Broker John Hardiman's BrokerCheck

Broker John Hardiman (CRD# 2089333) currently is registered at Janney Montgomery Scott LLC, in Melville, New York. Hardiman has four customer dispu...

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Broker Rikki Foster Has Three Customer Disputes on His BrokerCheck

Broker Rikki Foster (CRD# 6075051) currently is registered at Concorde Asset Management, LLC, in Roseville, California. Foster has three customer d...

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Broker Michael Siek Has Eight Customer Disputes on His BrokerCheck

Broker Michael Seik (CRD# 2072767) currently is registered at Dominari Securities LLC, in New York, New York. Seik has eight customer disputes acco...

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A Look At Broker Larry Cohen's BrokerCheck

Broker Larry Cohen (CRD# 3191796) currently is registered at Dominari Securities, LLC, in New York, New York. Cohen has four customer disputes acco...

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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.

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

Michael 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.

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.

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.