Current Investigations 

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Former Broker Mario Payne Has Eight Customer Disputes According to Broke...

Former Broker Mario Payne (CRD# 5445757) currently is not registered and is located in Jacksonville, Florida. Payne has eight customer disputes rep...

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A Look At Broker Richard DePalma's BrokerCheck

Broker Richard DePalma (CRD# 4517536) currently is registered at Centaurus Financial, Inc., in Erie, Pennsylvania. DePalma has four customer disput...

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Broker Robert Lybbert has Four Customer Disputes Reported on His BrokerC...

Broker Robert Lybbert (CRD# 7451138) currently is registered at Edward Jones in Issaquah, Washington. Lybbert has four customer disputes reported o...

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A Look At Broker Kurt Stauffer's BrokerCheck

Broker Kurt Stauffer (CRD# 2615431) currently is registered at CS Planning Corporation in West Slope, Oregon. Stauffer has eight customer disputes ...

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Broker Stephen Kerutis Has Eight Customer Disputes on his BrokerCheck

Broker Stephen Kerutis (CRD# 2345517) currently is registered at Cetera Investment Advisors LLC in Loudon, Tennessee. Kertuis has eight customer di...

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A Look at Broker Valentino Scott's BrokerCheck

Broker Valentino Scott (CRD# 1497615) currently is registered at Centaurus Financial Inc., in West Hills, California. Scott has eighteen customer d...

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Broker Leory Born has Nine Customer Disputes on his BrokerCheck

Broker Leory Born (CRD# 4052650) currently is registered at Wells Fargo Advisors in Tustin, California. Born has nine customer disputes reported on...

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Broker Manuel Fernandez Has Four Customer Disputes on His BrokerCheck

Broker Manuel Fernandez (CRD# 3079976) currently is registered at Truist Advisors Services, Inc., in Coral Gables, Florida. Fernandez has four cust...

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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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Latest News & Articles
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FINRA Launches Targeted Probe into Small-Cap Foreign IPO Underwriters

The Financial Industry Regulatory Authority (FINRA) has launched a targeted investigation into broker-dealer firms that helped small foreign com...

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FINRA Bars Former Edward Jones Broker in Crypto-Related Investigation

The Financial Industry Regulatory Authority (FINRA) has barred former Edward Jones representative Robert David Bienvenu for refusing to provide ...

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FINRA Suspends Former Wells Fargo Broker Over Unapproved Real Estate Ven...

The Financial Industry Regulatory Authority (FINRA) suspended former Wells Fargo broker George J. Cairnes for four months and fined him $25,000 ...

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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.

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.

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.

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.

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.