Current Investigations 

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Broker Sean McCabe has Ten Customer Disputes According to BrokerCheck

Broker Sean McCabe (CRD# 5479643) currently is registered at Network 1 Financial Securities, Inc., in Red Bank, New Jersey. McCabe has 10 customer ...

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A Look At Broker Rodrick Rodriguez's Brokercheck

Broker Rodrick Rodriguez (CRD# 2680445) currently is registered at Osaic Institutions, Inc., in Bronx, New York. Rodriguez has six customer dispute...

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A Look At Broker Kurt Jackson's BrokerCheck

Broker Kurt Jackson (CRD# 2913769) currently is registered at Commonwealth Financial Network in Arroyo Grande, California. Jackson has five custome...

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A Look At Broker Eric Garcia's BrokerCheck

Broker Eric Garcia (CRD# 5909532) currently is registered at Osaic Institutions, Inc., in Coral Gables, Florida. Garica has four customer disputes ...

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A Look at Broker Joshua Green's BrokerCheck

Broker Joshua Green (CRD # 4970616) currently is registered at Cetera Investment Advisors LLC, in New Port Richey, Florida. Green has four customer...

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Broker Brian Cantel Has Three Customer Disputes According to BrokerCheck

Broker Brian Cantel (CRD#1743229) currently is registered at Berthel Fisher & Company Financial Serivces, Inc., in Flowery Branch, Georgia. Cantel ...

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Broker John Nole Now Has Seven Customer Disputes Reported On His BrokerC...

Broker John Nole (CRD#1609191) currently is registered at Paulson Investment Company LLC, in St. Petersburg, Florida. Nole now has seven customer d...

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Former Broker Soloman Tobel Resigned From Morgan Stanley

Broker Soloman Tobel (CRD# 7643877) currently is registered at Wells Fargo and most recently was registered at Morgan Stanely. Tobel has three cust...

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Broker Joyce Thomas Has Six Customer Disputes According to BrokerCheck

Broker Joyce Thomas (CRD# 2713664) currently is registered at Independence Financial Group LLC, in San Gaberial, California. Thomas has six custome...

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A Look at James McAuthor's BrokerCheck

Broker James McAuthor (CRD# 2797856) is not currently registered and was most recently registered at IBN Financial Services Inc., in Massapequa, Ne...

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Latest News & Articles
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Cetera Fined $1.1 Million Over Supervisory and AML Deficiencies

The Financial Industry Regulatory Authority (FINRA) has censured and fined Cetera Financial Group $1.1 million after identifying supervisory sys...

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CFTC Signals New Rulemaking for Prediction Markets and Crypto Oversight

The Commodity Futures Trading Commission (CFTC) plans to develop new regulations governing the growing prediction markets industry, Chairman Mic...

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Ameriprise Advisor Phishing Incident Potentially Exposes Client Data

A phishing incident involving an Ameriprise Financial advisor potentially exposed the personal information of hundreds of clients, according to ...

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Testimonials

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.

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.

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.