News & Updates

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Wisconsin Advisor Barred After Allegations of Material Misrepresentations

The Securities and Exchange Commission (SEC) has barred an Appleton, Wisconsin-based advisor, Michael Shillin.&n...

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Experts Anticipate Reg BI Enforcement Actions, DOL Rollover Crackdown In...

The Securities and Exchange Commission (SEC) may actively levy enforcement actions pertaining to Regulation Best...

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Number Of Nasdaq Stocks Down 50% Or More Approaches Record

An increasing number of Nasdaq stocks have plummeted by around 50% in an echo of the dot-com crash.

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Wells Fargo Divisional Head Vanderveen Steps Down

One of eight regional directors monitoring Wells Fargo Advisors’ private client group departed the firm la...

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Boston Man Agrees To SEC Settlement After Guilty Plea

A Boston man accused of defrauding investors has agreed to a settlement with the Securities and Exchange Commiss...

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New FINRA Rule Reining In Rogue Brokerages Becomes Effective

The Financial Industry Regulatory Authority (FINRA) adopted a new rule in 2020 that is designed to rein in rogue...

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FINRA Fines Two Firms Over Mutual Fund Sales

The Financial Industry Regulatory Authority (FINRA) has fined Emerson Equity $1.7 million, citing several years ...

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Notable 2021 Ponzi Schemes

While 2021 was anything but an ordinary year, numerous advisors were indicted for conducting Ponzi schemes simil...

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Latest News & Articles
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Delaware Regulators Fine Kovack Advisors $985,000

Kovack Advisors Inc., the registered investment adviser affiliate of independent broker-dealer Kovack Securities Inc., agreed to pay a $985,000 ...

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FINRA Fines Broker-Dealer for Repeated Form CRS Disclosure Failures

The Financial Industry Regulatory Authority (FINRA) fined VSI Securities Inc., formerly known as Venecredit Securities Inc., $20,000 for failing...

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Investor Redemptions Rise in Nontraded BDCs Amid Credit Concerns

Financial advisors and their clients have increased redemptions from nontraded business development companies (BDCs) following a series of high-...

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Testimonials

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

Marci M.

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.

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.

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.

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.