Current Investigations 

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A Look At Michael Culwell's BrokerCheck

Broker Michael Culwell (CRD# 5989109) currently is registered at Emerson Equity in Irvine, California. Culwell has four customer disputes according...

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A Look At Ian Greenblatt's BrokerCheck

Broker Ian Greenblatt (CRD# 2276966) currently is registered Capital Securities Management, Inc., in Melvelle, New York. Greenblatt has six custome...

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Broker Francisco Cabral Has Three Customer Disputes According to BrokerC...

Broker Francisco Cabral (CRD# 5257195) currently is registered at Ameriprise Financial Services, LLC, in Greenwich, Connecticut. Cabral has three c...

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A Look At Timothy Sherer's BrokerCheck

Broker Timothy Sherer (CRD# 833618) currently is registered at Emerson Equity, Inc., in Los Gatos, California. Sherer has nine customer disputes an...

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Broker Shirley Wong Has Seventeen Customer Disputes According to BrokerC...

Broker Shirley Wong (CRD# 4869184) currently is registered at Emerson Equity, Inc., in Daly City, California. Wong has seventeen customer disputes ...

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A Look At Thomas Shultz's BrokerCheck

Broker Thomas Shultz (CRD# 5614228) currently is registered at Realta Investment Advisors, Inc., in Franklin, Tennessee. Shultz has five customer d...

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A Look At Former Registered Broker Scot Barringer's BrokerCheck

Broker Scot Barringer (CRD# 1385168) currently is not registered and previously was registered at American Trust Investment Services, Inc., in San ...

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A Look At Robert Lybbert's BrokerCheck

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

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A Look At Sam Bhushan's BrokerCheck

Broker Sam Bhushan (CRD# 4884717) currently is not registered. He was previously registered at Cabin Securities, Inc., in Irvine, California. Bhush...

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Broker Randall Duggan has Six Customer Disputes According to BrokerCheck

Broker Randall Duggan (CRD# 5559097) currently is registered at BFC Planning, Inc., in Cedar Rapids, Iowa. Duggan has six customer disputes accordi...

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Latest News & Articles
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Private Credit Funds Face Scrutiny Over Software Exposure Amid Investor ...

Private credit fund managers are facing increased scrutiny over their exposure to software companies as investors continue to pull money from th...

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FINRA Signals Stronger Enforcement Focus on Reg BI, Excessive Trading, a...

The Financial Industry Regulatory Authority (FINRA) plans to intensify its enforcement efforts against Regulation Best Interest (Reg BI) violati...

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Former Arvest Wealth Representative Sanctioned by FINRA Over Improper Us...

The Financial Industry Regulatory Authority (FINRA) has suspended former Arvest Wealth representative Brandon Still for 18 months and fined him ...

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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 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.

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

Michael M.

Fantastic news!!!!  Your professionalism, support and expertise were greatly appreciated.  You made a difficult situation much more bearable.

Marci 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.

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.