News & Updates

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Recent Morgan Stanley Recruiting Video Directly Criticizes Merrill Lynch

A recently-produced Morgan Stanley recruiting video that managers can use to convince potential recruits to join...

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SEC Charges Venture Capital Fund Advisor With Misleading Investors

The Securities and Exchange Commission (SEC) has charged venture capital fund advisor Alumni Ventures Group (AVG) with misleading clients about ...

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FINRA Issues FAQ On Senior Exploitation Rules

The Financial Industry Regulatory Authority (FINRA) has released a frequently asked questions (FAQ) guidance on new rules the regulator has enfo...

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Massachusetts Regulators Charge Broker-Dealer Over Unsuitable Sales of L...

Massachusetts securities regulators have charged a broker-dealer with allegedly failing to adequately monitor ad...

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Wells Fargo Deemed ‘Vindictive’ In Former Advisor’s Arbitration Win

A Financial Industry Regulatory Authority (FINRA) arbitration panel has awarded a former Wells Fargo advisor $1.43 million in a dispute pertaini...

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Notable February 2022 Ponzi Schemes

As we turn the calendar over to March, let’s recap some of the notable investment advisors who were indict...

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UBS Triggers Margin Calls After Russia Bond Values Plummet

UBS Group has triggered margin calls on some of its wealth management clients who use Russian bonds as collateral for their investments after th...

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Wells Fargo Announces That Labor Department Is Investigating Its 401(k) ...

The U.S. Department of Labor (DOL) and other federal agencies are probing Wells Fargo & Co.’s 401(k) plan, according to the firm&rsquo...

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Allianz Terminates Two Portfolio Managers After Investment Fund Collapses

Allianz has fired two portfolio managers who monitored a group of investment funds that failed after generating massive losses at the outset of ...

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SEC Charges Infinity Q Founder Over Valuation Fraud

The Securities and Exchange Commission (SEC) has charged former Chief Investment Officer and founder of Infinity...

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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 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.

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.

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.

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.

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

Marci M.