Current Investigations 

Read More

A Look At Broker Kurt Stauffer's BrokerCheck

Broker Kurt Stauffer (CRD# 2615431) currently is registered at CS Planning Corporation in West Slope, Oregon. Stauffer has eight customer disputes ...

Read More

Read More

Broker Stephen Kerutis Has Eight Customer Disputes on his BrokerCheck

Broker Stephen Kerutis (CRD# 2345517) currently is registered at Cetera Investment Advisors LLC in Loudon, Tennessee. Kertuis has eight customer di...

Read More

Read More

A Look at Broker Valentino Scott's BrokerCheck

Broker Valentino Scott (CRD# 1497615) currently is registered at Centaurus Financial Inc., in West Hills, California. Scott has eighteen customer d...

Read More

Read More

Broker Leory Born has Nine Customer Disputes on his BrokerCheck

Broker Leory Born (CRD# 4052650) currently is registered at Wells Fargo Advisors in Tustin, California. Born has nine customer disputes reported on...

Read More

Read More

Broker Manuel Fernandez Has Four Customer Disputes on His BrokerCheck

Broker Manuel Fernandez (CRD# 3079976) currently is registered at Truist Advisors Services, Inc., in Coral Gables, Florida. Fernandez has four cust...

Read More

Read More

A Look at Former Broker Cara Miller's BrokerCheck

Former Broker Cara Miller (CRD# 4521819) most recently was registered at ProEquities, Inc., in Rapid City, South Dakota. Miller has seven customer ...

Read More

Read More

Broker William Bredt Has Seven Customer Disputes According to BrokerCheck

Broker William Bredt (CRD# 1621507) currently is registered at Raymond James and Associates Inc., in West Conshohocken, Pennsylvania. Bredt has sev...

Read More

Read More

A Look at Broker Bradley Ford's BrokerCheck

Broker Badley Ford (CRD# 1649604) currently is registered at Madison Avenue Securities LLC, in Evansville, Indianna. Ford has four customer dispute...

Read More

Read More

A Look at Broker Joseph Jackson's BrokerCheck

Broker Joseph Jackson (CRD# 2351290) currently is registered at Capitol Investment Advisory Services LLC, in Fayetteville, North Carolina. Jackson ...

Read More

Read More

A Look at Broker Randy Berkinbine's BrokerCheck

Broker Randy Berkinbine (CRD# 2008599) currently is registered at Ausdual Financial Partners, Inc., in North Oaks, Minnesota. Berkinbine has nine c...

Read More

Latest News & Articles
Read More

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...

Read More

Read More

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...

Read More

Read More

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 ...

Read More

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.

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.

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.

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.

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.