Current Investigations 

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A Look At Broker Steven Lovell's BrokerCheck

Broker Steven Lovell (CRD# 5975704) currently is registered at Cetera Investment Advisors LLC in Upper Arlignton, Ohio. Lovell currently has 4 cust...

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Broker Mathew Koelliker Has Three Customer Disputes According to BrokerC...

Broker Mathew Koelliker (CRD#5660722) currently is registered at KKR Capital Markets LLC, in San Fransisco, California. Koelliker has three custome...

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A Look At Broker Kirk Badii's BrokerCheck

Broker Kirk Badii (CRD# 5829768) currently is registered at Independent Financial Group LLC, in Southlake, Texas. Badii currently has 5 customer di...

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A Look At Ronald Smith's BrokerCheck

Broker Ronald Smith (CRD# 6038062) currently is not registered. He was most recently registered at Sanford C. Bernstein & Co, LLC in Samford Connec...

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A Look At John Pronovost's BrokerCheck

Broker John Pronovist (CRD# 1990612) currently is not registered. He was previously registered at Osaic Institutions Inc., in Watertown, Connecticu...

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A Look at Former Broker Daniel Kaplan's Fraud Conviction

Former Broker Daniel Kaplan (CRD# 6609015) currently is not registered and previously was registered at Merrill Lynch and IHT Wealth Management LLC.

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A Look At Christopher Wright's BrokerCheck

Broker Christopher Wright (CRD# 4134973) currently is registered at Wright Wealth Management Group in Prescott, Arizona. Wright currently has 8 cus...

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Broker Brian Nelson Has Ten Customer Disputes Reported On His BrokerCheck

Broker Brian Nelson. (CRD# 5065593) currently is registered at Emerson Equity, LLC in Mission Viejo, California. Nelson has 10 customer disputes a...

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Broker Ryan Sherer Has Four Customer Disputes Reported on His BrokerCheck

Broker Ryan Sherer (CRD# 5952617) currently is registered at Emerson Equity LLC, in Los Gatos, California. Sherer has four customer disputes report...

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Broker John Forrester Jr. Has Eleven Customer Disputes Reported On His B...

Broker John Forrester Jr. (CRD# 728188) currently is registered at Newbridge Securities Corporation in Boca Raton, Florida. Forrester has 11 custom...

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Latest News & Articles
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Florida FINRA Arbitration Panel Orders Charles Schwab to Pay $3.8 Millio...

A Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered Charles Schwab & Co.

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Cybersecurity Breach at Edelman Financial Engines Highlights Growing Ris...

A recent cybersecurity incident involving Edelman Financial Engines has drawn attention to the increasing number of cyberattacks targeting regis...

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SEC and CFTC Plan Coordinated Examinations and Enforcement Efforts

The Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) plan to coordinate examinations and enforcement...

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Testimonials

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.

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 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.

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.

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.