News & Updates

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FINRA Advances Overhaul of Outside Business Activity Rules to the SEC

FINRA formally has advanced its proposed overhaul of outside business activity (OBA) regulations to the Securities and Exchange Commission.

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FINRA Sanctions, Criminal Cases, and Industry Bars in 2025

AdvisorHub has compiled a year-end review of enforcement actions and criminal proceedings.

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James Eccleston Named 2026 Super Lawyer in Securities Litigation

Eccleston Law announces James Eccleston's selection to the 2026 Illinois Super Lawyers list, continuing a track record of excellence since 2005....

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FINRA Enforcement Actions for Reg BI Violations Surge Past 2024 Levels

The Financial Industry Regulatory Authority (FINRA) already has brought more Regulation Best Interest cases in 2025 than it did during all of 20...

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JPMorgan Explores Crypto Trading for Institutional Clients as Wall Stree...

JPMorgan is weighing another significant expansion into cryptocurrency, as the firm considers allowing institutional clients to trade digital as...

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EC Zeroes In on Persistent Marketing Rule Failures With New Staff FAQs

The Securities and Exchange Commission (SEC) has sharpened its scrutiny of investment adviser marketing practices, signaling continued frustrati...

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New Investor Losses as Yieldstreet Rebrands to Willow Wealth

Yieldstreet, now operating under the name Willow Wealth, continues to report significant losses to investor clients despite a high-profile rebra...

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SEC Charges Three Advisors in Alleged Sale of Unregistered Oil and Gas S...

The Securities and Exchange Commission (SEC) has charged three advisors and agents with selling millions of dollars in unregistered oil and gas ...

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FINRA Study Warns of Declining Investor Participation and Rising Fraud R...

A new study from FINRA’s Investor Education Foundation highlights troubling shifts in retail investing, including shrinking participation,...

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SEC Signals Sweeping IPO Rule Changes to Ease Path for Smaller Companies

The Securities and Exchange Commission (SEC) plans to overhaul its public offering framework to make it easier for smaller companies to access t...

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Latest News & Articles
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Ameriprise Advisor Phishing Incident Potentially Exposes Client Data

A phishing incident involving an Ameriprise Financial advisor potentially exposed the personal information of hundreds of clients, according to ...

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Merrill Lynch Expands Client Disclosures on Crypto and AI Risks

Merrill Lynch updated its required client disclosure brochure to address, for the first time, the evolving risks tied to cryptocurrency-linked i...

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FINRA Orders Osaic Unit to Pay Over $5 Million for Misleading Bank Depos...

The Financial Regulatory Authority (FINRA) ordered independent broker-dealer Osaic and its acquired firm, American Portfolios Financial Services...

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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.

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.

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.

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.