Current Investigations 

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A Look At Former Broker Daniel Beech's BrokerCheck.

Former Broker Daniel Beech (CRD# 6169844) is not currently registered and most recently was registered at Innovation Partners LLC. In Charlotte, No...

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A Look At Broker Alexander Fischman's BrokerCheck

Broker Alex Fischman (CRD# 5902109) currently is registered at Wells Fargo Advisors in Hackensack New Jersey. Fischman has seven custoemr disputes ...

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Broker Rita Mansour Has Eight Customer Disputes Reported on Her BrokerCheck

Broker Rita Mansour (CRD# 1968418) currently is registered at McDonald Partners LLC, in Toledo, Ohio. Mansour has eight customer disputes reported ...

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Broker Michael Rosenmayer Has 23 Customer Disputes Reported on His Broke...

Broker Michael Rosenmayer currently is registered at Oppenheimer & Co, Inc., in Los Angeles, California. Rosenmayer has 23 customer disputes report...

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A Look at Broker Victor Sibilla's BrokerCheck

Broker Victor Sibilla (CRD# 1783361) currently is registered at Westpark Capitol Inc., in Boca Raton, Florida. Sabilla has eight customer disputes ...

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A Look at Broker Kenneth New's BrokerCheck

Broker Kenneth New (CRD# 2836918) currently is registered at Arete Wealth Advisors LLC, in Merritt Island, Florida. New has four customer disputes ...

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A Look At Broker Shane Desherlia's BrokerCheck

Broker Shane Desherlia (CRD# 6800960) currently is registered at Moloney Securities Asset Management LLC, in Jerseyville, Illinois. Desherlia has f...

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Former Broker Mario Payne Has Eight Customer Disputes According to Broke...

Former Broker Mario Payne (CRD# 5445757) currently is not registered and is located in Jacksonville, Florida. Payne has eight customer disputes rep...

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A Look At Broker Richard DePalma's BrokerCheck

Broker Richard DePalma (CRD# 4517536) currently is registered at Centaurus Financial, Inc., in Erie, Pennsylvania. DePalma has four customer disput...

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Broker Robert Lybbert has Four Customer Disputes Reported on His BrokerC...

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

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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

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.

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.

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.

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.