News & Updates

Read More

Morgan Stanley Advisor Wins Expungement Under FINRA's Stricter Rules

A FINRA arbitration panel granted a financial advisor’s request to expunge a 2022 customer complaint from her record, marking another test...

Read More

Read More

Federal Judge Strikes Down Hightower's Non-Compete Agreement in California

A federal judge in Wilmington, Delaware, ruled against Hightower Advisors in its effort to enforce non-compete agreements against a former advis...

Read More

Read More

UBS Warns of Increased Advisor Departures Following Compensation Overhaul

UBS Group AG executives cautioned that the firm may see a rise in advisor departures this year due to changes in its 2025 compensation...

Read More

Read More

Attorney Eccleston Receives Highest Rating in Legal and Ethical Standards

James Eccleston has been awarded an AV Preeminent rating, the highest possible recognition for legal ability and ethical standards. Managed by M...

Read More

Read More

SEC Sanctions One Oak Capital and Advisor for Improper Conversions to Fe...

The Securities and Exchange Commission (SEC) has penalized a New York-based registered investment adviser and its veteran adviser for converting...

Read More

Read More

Arbitration Panel Orders Morgan Stanley to Pay $843,000 for Failing to P...

A FINRA arbitration panel has ordered Morgan Stanley to pay $843,000 in compensatory damages to a senior client residing in Florida for failing ...

Read More

Read More

Sharp Drop in FINRA Expungement Requests as New Rules Take Effect

The number of brokers seeking to expunge customer complaints and other disclosures from their public records through FINRA’s arbitration f...

Read More

Read More

FINRA Highlights Risks of Investing Home Equity Loan Proceeds

FINRA issued a reminder to financial advisors to carefully consider customers’ time horizons and risk tolerance, particularly when recomme...

Read More

Read More

Wells Fargo to Strengthen Financial Crimes Risk Management Amid Regulato...

Wells Fargo has agreed with U.S. banking regulators to enhance its financial crime risk management practices, including tightening controls over...

Read More

Read More

Financial Advisor Accepts Suspension and Fine for Misrepresenting Contin...

A financial advisor affiliated with Equity Services Inc. (ESI) has agreed to a one-month suspension and a $5,000 fine after the Financial Indust...

Read More

Latest News & Articles
Read More

Montana Federal Judge Allows Family's Premium Financing Claims to Proceed

A federal judge in Montana has allowed a family to move forward with negligence, fraud, and unjust enrichment claims tied to a premium-financed ...

Read More

Read More

Arizona Man Sentenced to 30 Years for Multi-Million Dollar Ponzi-Style F...

An Arizona man has been sentenced to 30 years in prison for running a Ponzi-style investment scheme that defrauded more than 100 victims out of ...

Read More

Read More

Easterly ROCMuni Fund's Steep Decline Spurs Potential Investor Lawsuits

The Easterly ROCMuni High Income Municipal Bond Fund (RMHIX) has suffered a dramatic collapse, losing nearly half its value in June and now trad...

Read More

Testimonials

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.

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

Marci 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.

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

Michael M.