Current Investigations 

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Broker Sean Righter Has 5 Customer Disputes

According to BrokerCheck, Broker Sean Righter (CRD# 5419832) is not currently registered but was previously registered at Morgan Stanley in Irvine,...

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A Look at Broker Kevin Lawrence Kelly's 9 Customer Complaints

According to BrokerCheck, Broker Kevin Lawrence Kelly (CRD# 2293119) is currently registered at Avantax Advisory Services and Avantax Advisory Serv...

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A Look at Broker William Keen Butcher's BrokerCheck

According to BrokerCheck, Broker William Keen Butcher (CRD# 2098675) is currently registered at Independent Financial Group, LLC in Kemah, Texas an...

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A Look at Broker David Sosa'a Brokercheck

According to BrokerCheck, broker David Sosa (CRD # 2447013) is registered with Cetera Investment Advisers and Cetera Investment Servies in Lake Mar...

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Broker John Shortel Has Four Customer Disputes on His BrokerCheck.

According to BrokerCheck broker John Patrick Shortal (CRD# 2233172) is currently registered at Moloney Securities Co., Inc. in Jerseyville, Illinoi...

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A Look at Broker Roy Williams' BrokerCheck.

Broker Roy Williams (CRD# 1069297) is currently registered at KCD Financial, Inc. in Stratford, Connecticut and was formerly registered at Center S...

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Broker Anthony Gallea Has Four Customer Disputes on His BrokerCheck

According to BrokerCheck, Anthony Michael Gallea (CRD# 713980) is currently registered at Morgan Stanley in Hendersonville, North Carolina and has ...

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A Look At Regulatory Disclosures And Customer Complaints Against Buckman...

According to BrokerCheck, broker Harry John Buckman (CRD #2202467), currently registered with Buckman Advisory Group, LLC, Mayhill Agency, LLC, and...

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BrokerCheck Report: Examining Customer Disputes Against Centaurus Financ...

Troy N. Tremblay (CRD #4625407) of Centaurus Financial, Inc. (doing business as Tremblay Financial Services), has or has had three customer dispute...

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A Look at Regulatory Events and Customer Allegations Against Stifel, Nic...

Chuck A. Roberts (CRD #2064602), currently registered with Stifel, Nicolaus & Company Incorporated, has or has had two regulatory events and twenty...

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Latest News & Articles
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FINRA Bars Former Jefferies Advisor After Refusal to Cooperate with Regu...

Nicholas Coubrough, a former wealth advisor with Jefferies Financial Group Inc. in Miami, has been permanently barred from the securities indust...

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Florida Attorney General Targets RAD Diversified REIT Over Suspected Pon...

Florida Attorney General James Uthmeier has launched an aggressive investigation into RAD Diversified REIT, Inc., its subsidiaries, and its owne...

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Florida Woman Arrested in $2.6 Million Theft Scheme Tied to Former Merri...

A Florida woman faces multiple felony charges for allegedly helping a former Merrill Lynch advisor steal millions from a high-profile NFL client...

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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.

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.

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.

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.

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.