Current Investigations 

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A Look At Broker Brian Nelson's BrokerCheck

Broker Brian Nelson (CRD# 5065593) currently is registered at Emerson Equity, LLC, in Mission Viejo, California. Nelson has 16 customer disputes ac...

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A Look At Broker Stewart Ginn's BrokerCheck

Broker Stewart Ginn (CRD# 4503197) currently is registered at Independent Financial Group, LLC, in Santa Maria, California. Ginn has seven customer...

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Broker William Burks II Has Seven Customer Disputes Reported on His Brok...

Broker William Burks II (CRD# 2944992) currently is registered at Centaurus Financial, Inc., in Flower Mound, Texas. Burks has seven customer dispu...

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A Look At Broker Sandeep Shrivastava's BrokerCheck

Broker Sandeep Shrivastava (CRD# 5003823) currently is registered at TPEG Securities, LLC, in Southlake, Texas. Shrivastava has three customer disp...

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A Look At Broker Aaron Sevingy's BrokerCheck

Broker Aaron Sevingy (CRD# 4314368) currently is registered at United Planners' Financial Services of America a Limited Partnership, in Bonita Spri...

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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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Latest News & Articles
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Snowden Lane Partners to Pay $364,590 Over Undisclosed Conflicts and Mis...

Snowden Lane Partners will pay $364,590 to settle Securities and Exchange Commission (SEC) charges that it failed to disclose compensation arran...

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SEC Issues its 2026 Enforcement Report

The Securities and Exchange Commission (SEC) filed 348 enforcement actions in fiscal year 2026, including 235 standalone actions and 113 follow-...

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Morgan Stanley Develops AI Super Agents to Build Portfolios and Manage C...

Morgan Stanley is developing AI-powered "super agents" that could eventually build investment portfolios, manage client accounts and handle many...

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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.

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.

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.

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.

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.