News & Updates

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SEC Obtains Emergency Relief To Halt Alleged Ponzi Scheme

The Securities and Exchange Commission (SEC) has successfully obtained emergency relief, including asset freezes...

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SEC Bars Advisor For Misleading Statements Regarding Woodbridge Securities

The Securities and Exchange Commission (SEC) has barred an advisor who made misleading statements in connection ...

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Investor Advocates Push SEC to Investigate Mandatory Arbitration Require...

A coalition of investor advocates has asked the Securities and Exchange Commission (SEC) to investigate the use ...

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FINRA and SEC Officials Reveal Common Pitfalls in Reg BI Exam Sweeps

Regulators have announced their intention to increase the frequency of examinations as they continue to discover...

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Large GPB Fund Posts Revenue and Income Growth

After considerable delay, GPB Capital Holdings finally has released financial statements to its investors regard...

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Allianz Pleads Guilty to Fraud and Agrees to Pay $5.8 Billion

A unit of Allianz SE has agreed to plead guilty to securities fraud and pay $5.8 billion in fines and restitutio...

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Edward Jones Files Motion to Dismiss $15 Million Book of Business Lawsuit

A former Edward Jones advisor has filed suit against Edward Jones over a $15 million book of business.

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FINRA Suspends Former Morgan Stanley Advisor Who Solicited Venture Capit...

The Financial Industry Regulatory Authority (FINRA) has suspended a former Morgan Stanley advisor for allegedly ...

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SEC Bars Michigan Advisor Who Misappropriated $314,000 From Elderly Client

The Securities and Exchange Commission has barred an advisor who allegedly misappropriated nearly $305,000 from ...

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UBS Advisor Joins U.S. Capital After Contentious Compliance Review

A UBS Wealth Management advisor who generated $3 million in annual revenue has joined U.S. Capital Wealth Adviso...

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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

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.

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 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 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.