News & Updates

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FINRA Arbitrators Order Morgan Stanley and Former Advisor to Pay Damages...

A Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered Morgan Stanley and a former advi...

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Barred Sarasota Advisor Becomes Subject Of GWG Bond Complaint

An advisor who received a Financial Industry Regulatory Authority (FINRA) bar last year and had numerous BrokerC...

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Market Volatility Sparks Heightened Scrutiny of Complex Products Sales

Market volatility can expose financial advisory firms that fail to supervise and ensure their advisors adhere to...

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UBS Sues Former Advisor Robert Turner Over Alleged Misappropriation of C...

UBS Financial Services has filed suit against a former Waco, Texas, advisor who allegedly misappropriated nearly...

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SEC Charges Hedge Fund Advisor Over Alleged $39 Million Fraud

The Securities and Exchange Commission (SEC) has filed fraud charges against EIA All Weather Alpha Fund I Partne...

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SEC Charges RiverSource Distributors With Improper Switching of Variable...

The Securities and Exchange Commission (SEC) has agreed to a settlement with RiverSource Distributors Inc. for i...

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When Custodians Defame Investment Advisers to Their Clients In Terminati...

SPECIAL ALERT: When custodians defame investment advisers to their clients in terminating investment manager service agreements

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NASAA Members Approve Model Rule Addressing Unpaid Client Arbitration Aw...

The North American Securities Administrators Association (NASAA) and its members have voted to adopt a model rul...

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FINRA Revives Plan To Design Expungement Arbitrator Roster

The Financial Industry Regulatory Authority (FINRA) has announced that it has approved amendments to a rule crea...

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Wells Fargo Ordered To Pay Former Credit Suisse Advisor Nearly a Million...

A Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered Wells Fargo to pay $987,300 in c...

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Latest News & Articles
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FINRA Seeks to Make Remote Inspection Program Permanent

The Financial Industry Regulatory Authority (FINRA) is seeking approval from the Securities and Exchange Commission (SEC) to make its pandemic-e...

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SEC Alleges Illinois Investment Adviser Misappropriated Investor Funds a...

According to a litigation release published on SEC.gov, the Securities and Exchange Commission (SEC) has charged John Sterling Myers and his fir...

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FINRA Suspends Former Broker Over Undisclosed Business Activities, Annui...

The Financial Industry Regulatory Authority (FINRA) has suspended former registered representative Clayton K.

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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.

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.

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 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.

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

Marci M.