News & Updates

Read More

FINRA Cracks Down On UBS and Berthel Fisher

The Financial Industry Regulatory Authority (FINRA) has issued a $350,000 fine to UBS for failing to report trades in TRACE-eligible securities....

Read More

Read More

GWG Blames SEC Investigation Of Sales Practices For Its Collapse

In its Chapter 11 bankruptcy filings, GWG has criticized the Securities and Exchange Commission’s (SEC’s) investigation of broker-de...

Read More

Read More

FINRA Bars Former Ameriprise Advisor Who “Falsified” Client Event Ex...

The Financial Industry Regulatory Authority (FINRA) has barred a former Ameriprise advisor who allegedly falsifi...

Read More

Read More

FINRA Bars Massachusetts Advisor For Failing to Cooperate With Regulator...

The Financial Industry Regulatory Authority (FINRA) has barred a former advisor, Philip Riposo, for failing to c...

Read More

Read More

Arbitrators Clear Former Merrill Advisor Of Former Partner’s Misconduct

A former Kentucky-based Merrill advisor will have his record cleared of an investor complaint pertaining to the conduct of his former partner wh...

Read More

Read More

SEC Accuses Former Morgan Stanley Advisor of Conducting a Ponzi Scheme

The Securities and Exchange Commission (SEC) has accused a former Morgan Stanley advisor of using client funds t...

Read More

Read More

Former UBS Advisor Pleads Guilty to Spending Client Funds on Girlfriends...

A former UBS advisor has pleaded guilty to misappropriating $5.8 million in client funds primarily to cover gifts for girlfriends, according to ...

Read More

Read More

SEC Obtains TRO and Asset Freeze Against Alleged Perpetrators of $450 Mi...

The Securities and Exchange Commission (SEC) has charged and obtained an asset freeze against numerous Las Vegas-based individuals and entities ...

Read More

Read More

Unregistered Advisors Perpetrate Scheme While Concealing Disciplinary Hi...

The Securities and Exchange Commission (SEC) has filed suit against two unregistered advisors for hiding their disciplinary records from investo...

Read More

Read More

GWG Holdings Announces Chapter 11 Bankruptcy

GWG Holdings has filed for Chapter 11 bankruptcy. Its woes have included failing to submit its 2021 yearly repor...

Read More

Latest News & Articles
Read More

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...

Read More

Read More

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...

Read More

Read More

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

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

Read More

Testimonials

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

Michael 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.

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.

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.

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.

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

Marci M.