Current Investigations 

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A Look At Broker John Russo's BrokerCheck

Broker John Russo (CRD# 3245040) currently is registered at Dominari Securities, LLC, in New York, New York. Russo has three customer disputes acco...

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Broker David Kangas Has Four Customer Disputes on His BrokerCheck

Broker David Kangas (CRD# 6591398) currently is registered at Wealthforge Securities, LLC in Richmond Virginia. Kangas has 4 customer disputes acco...

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A Look At Broker Aaron Sevingy's BrokerCheck

Broker Aaron Sevingy (CRD# 4314368) currently is registered at United Planners' Financial Services of America, in Bonita Springs, Florida. Sevingy ...

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A Look At Broker Eugene Thompson IV's BrokerCheck

Broker Eugene Thompson IV (CRD# 4350479) currently is registered at Capital Investment Advisory Services in Wallace, North Carolina. Thompson has 1...

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Broker Kevin Kelly Has Twelve Customer Disputes on His BrokerCheck

Broker Kevin Kelly (CRD# 2293119) currently is registered at Cetera Investment Advisors LLC, in Schaumburg, Illinois. Kelly has 12 customer dispute...

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A Look At Former Broker David White's BrokerCheck

Former broker David White (CRD# 1382131) currently is not registered and previously was registered at Centaurus Financial Inc., in Bloomfield Hills...

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Broker Christopher Nelson Kirkland Has Multiple Customer Disputes on His...

Christopher Nelson Kirkland (CRD# 5602044) is currently registered at Cetera Investment Advisors LLC, in Schaumburg, Illinois. Kirkland has 11 cust...

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A Look At Broker William Candler's BrokerCheck

Broker William Candler (CRD# 2802438) currently is registered at Cabin Advisors, LLC in Overland Park, Kansas. Candler has three customer disputes ...

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Broker Joshua Chapin Has Five Customer Disputes According to BrokerCheck

Broker Joshua Chapin (CRD# 5825638) currently is registered at Emerson Equity, LLC, in Corona Del Mar, California. Chapin has five customer dispute...

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A Look At Broker Kelley Slaught's BrokerCheck

Broker Kelley Slaught (CRD# 1126586) currently is registered at Centaurus Financial, Inc., in Santa Barbara, California. Slaught has four customer ...

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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

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.

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.

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.

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.