Current Investigations 

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A Look at Broker Bradley Ford's BrokerCheck

Broker Badley Ford (CRD# 1649604) currently is registered at Madison Avenue Securities LLC, in Evansville, Indianna. Ford has four customer dispute...

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A Look at Broker Joseph Jackson's BrokerCheck

Broker Joseph Jackson (CRD# 2351290) currently is registered at Capitol Investment Advisory Services LLC, in Fayetteville, North Carolina. Jackson ...

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A Look at Broker Randy Berkinbine's BrokerCheck

Broker Randy Berkinbine (CRD# 2008599) currently is registered at Ausdual Financial Partners, Inc., in North Oaks, Minnesota. Berkinbine has nine c...

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Broker Kenneth McCabe Has Three Customer Disputes Reported on His Broker...

Broker Kenneth McCabe (CRD# 2980438) currently is registered at Centaurus Financial Inc., in West Hills, California. McCabe has three customer disp...

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A Look At Broker Allen Budelman's BrokerCheck

Broker Allen Budelman (CRD# 3210648) currently is registered at Corient in Maimi, Florida. Budelman has three customer disputes reported on his Bro...

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Broker Duncan Maceachern Has Three Customer Disputes According to Broker...

Broker Duncan Maceachern (CRD# 1856591) currently is registered at LPL financial LLC, in Rochester, Michigan. Maceachern has three customer dispute...

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Former Broker Joseph Roop Has Fifteen Customer Disputes Reported on His ...

Former Broker Joseph Roop (CRD# 2774470) most recently was registered at Dempsey Lord Smith, LLC in Belmont, North Carolina. Roop has fifteen custo...

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Broker Robert DeChick Has Seven Customer Disputes According to BrokerChe...

Broker Robert DeChick (CRD# 4152582) currently is registered at D.H. Hill Advisors. Inc., in Clermont Florida. DeChick has seven customer disputes ...

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A Look at Thomas Kelly Jr.'s BrokerCheck

Broker Thomas Kelly Jr. (CRD# 2877415) currently is registered at Aegis Capitol Corporation in New York, New York. Kelly has twenty-one customer di...

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Former Broker Patrick Egan Has Six Customer Disputes Reported on His Bro...

Former Broker Patrick Egan (CRD# 2973478) most recently was registered at Western International Securities, Inc. ("Western"), in Glendora, Georgia....

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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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Conservation Easement Crackdown: Understanding IRS Enforcement and Inves...

Conservation easements can serve as powerful legal tools that protect open land, preserve wildlife habitats, and offer legitimate tax benefits t...

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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 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 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.

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.