News & Updates

Read More

FINRA Bars Former Ameriprise Advisor Over $2.2 Million in Client Loans

The Financial Industry Regulatory Authority (FINRA) has permanently barred former Ameriprise Financial broker Eric A. Dupre for borrowing more t...

Read More

Read More

Florida Investment Advisor Accused of Orchestrating $94 Million Fraud Ta...

Federal prosecutors have charged Andrew Hamilton Jacobus, a former investment adviser based in Fort Lauderdale, Florida, with defrauding interna...

Read More

Read More

FINRA Suspends Financial Advisor for Outsourcing Continuing Education Re...

The Financial Industry Regulatory Authority (FINRA) has suspended advisor Francis G. Smith for one month and fined him $5,000 after finding he h...

Read More

Read More

Margin Debt Hits $1 Trillion as Investor Risk Appetite Surges

According to Barron’s, investors are borrowing against their portfolios at record levels.

Read More

Read More

FINRA Suspends Broker for Impersonating Clients During Account Transfers

Chad M. Rogers, a former broker with Independent Financial Partners (IFP) in Oklahoma City, received a 45-day suspension and a $5,000 fine from ...

Read More

Read More

SEC Overturns FINRA Bar Against Former Rep, Issues Immediate Suspension ...

In a rare move, the Securities and Exchange Commission (SEC) has scaled back an industry bar by the Financial Industry Regulatory Authority (FIN...

Read More

Read More

FINRA Panel Awards $160K in Broker Poaching Dispute Between Former Ameri...

A FINRA arbitration panel has ordered Kraig R. Bode, an independent broker now affiliated with Sanctuary Wealth, to pay $160,000 in damages to h...

Read More

Read More

Ex-Schwab Representative Suspended Two Years and Fined for Concealing Pr...

The Financial Industry Regulatory Authority (FINRA) has suspended former Charles Schwab & Co. Inc. representative Daniel Michael Roper for t...

Read More

Read More

Second Circuit Rejects Morgan Stanley's Bid to Overturn ERISA Ruling

Morgan Stanley has once again hit a roadblock in its effort to overturn a federal court decision that applies the Employee Retirement Income Sec...

Read More

Read More

FINRA Bars Former Stifel Broker Amid $133 Million Arbitration Fallout

The Financial Industry Regulatory Authority (FINRA) has barred former Stifel Financial broker Chuck A. Roberts after a wave of investor complain...

Read More

Latest News & Articles
Read More

FINRA Bars Former Ameriprise Advisor Over $2.2 Million in Client Loans

The Financial Industry Regulatory Authority (FINRA) has permanently barred former Ameriprise Financial broker Eric A. Dupre for borrowing more t...

Read More

Read More

Florida Investment Advisor Accused of Orchestrating $94 Million Fraud Ta...

Federal prosecutors have charged Andrew Hamilton Jacobus, a former investment adviser based in Fort Lauderdale, Florida, with defrauding interna...

Read More

Read More

FINRA Suspends Financial Advisor for Outsourcing Continuing Education Re...

The Financial Industry Regulatory Authority (FINRA) has suspended advisor Francis G. Smith for one month and fined him $5,000 after finding he h...

Read More

Testimonials

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 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.

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.

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.

I want to thank you for your excellent professional representation. It was greatly appreciated.

Michael M.