News & Updates

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SEC Charges Long Island RIA and Executives in $138 Million Private Fund ...

A Long Island-based registered investment adviser and two of its senior executives now face parallel civil and criminal proceedings tied to an a...

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FINRA Arbitration Panel Orders Fidelity to Pay $1.3 Million Over Structu...

A Financial Industry Regulatory (FINRA) arbitration panel has ordered Fidelity Brokerage Services to pay approximately $1.3 million to two group...

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FINRA Enforcement Trends Show Higher Monetary Sanctions Despite Fewer Ca...

The Financial Industry Regulatory Authority (FINRA) increased total monetary sanctions in 2025, even as the number of enforcement actions declin...

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Florida FINRA Arbitration Panel Orders Charles Schwab to Pay $3.8 Millio...

A Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered Charles Schwab & Co.

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Cybersecurity Breach at Edelman Financial Engines Highlights Growing Ris...

A recent cybersecurity incident involving Edelman Financial Engines has drawn attention to the increasing number of cyberattacks targeting regis...

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SEC and CFTC Plan Coordinated Examinations and Enforcement Efforts

The Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) plan to coordinate examinations and enforcement...

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FINRA Charges Former Pruco Securities Representative With Forging Dozens...

The Financial Industry Regulatory Authority (FINRA) filed a disciplinary complaint against former Pruco Securities representative Avinesh Shanka...

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FINRA Bars Former Morgan Stanley Financial Advisor After Refusal to Coop...

The Financial Industry Regulatory Authority (FINRA) has barred former Morgan Stanley financial advisor Gregory V.

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Inspired Healthcare Collapse Triggers Investor Claims and Heightened FIN...

The collapse of Inspired Healthcare Capital has left investors facing significant losses and has intensified legal exposure for broker-dealers a...

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Former Morgan Stanley Advisor Convicted in $5 Million Fraud Scheme Invol...

A federal jury convicted former Morgan Stanley advisor Darryl Cohen for orchestrating a fraud scheme that targeted three professional basketball...

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Latest News & Articles
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SEC Charges Long Island RIA and Executives in $138 Million Private Fund ...

A Long Island-based registered investment adviser and two of its senior executives now face parallel civil and criminal proceedings tied to an a...

Read More

Read More

FINRA Arbitration Panel Orders Fidelity to Pay $1.3 Million Over Structu...

A Financial Industry Regulatory (FINRA) arbitration panel has ordered Fidelity Brokerage Services to pay approximately $1.3 million to two group...

Read More

Read More

FINRA Enforcement Trends Show Higher Monetary Sanctions Despite Fewer Ca...

The Financial Industry Regulatory Authority (FINRA) increased total monetary sanctions in 2025, even as the number of enforcement actions declin...

Read More

Testimonials

Fantastic news!!!!  Your professionalism, support and expertise were greatly appreciated.  You made a difficult situation much more bearable.

Marci 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.

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.

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.

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.