News & Updates

Read More

Kansas City Advisory Firms Agree to $25.5 Million Settlement Over No-Poa...

Mariner Wealth Advisors, along with two other Kansas City-area firms, has agreed to a $25.5 million class action settlement over allegations tha...

Read More

Read More

FINRA Fines TradeStation Securities Over Deficient Crypto Communications

FINRA has fined TradeStation Securities Inc. $85,000 for violations related to retail communications about crypto assets and crypto asset-relate...

Read More

Read More

FINRA's 2025 Industry Snapshot Highlights

The Financial Industry Regulatory Authority’s (FINRA) has published its 2025 Industry Snapshot. The Snapshot provides a detailed view of i...

Read More

Read More

Former Raymond James Advisor Barred by FINRA Over Misappropriation Probe

The Financial Industry Regulatory Authority (FINRA) has permanently barred former Raymond James financial advisor Meredith Archer Webber after s...

Read More

Read More

SEC Fines American Portfolios Advisors $1.75 Million for Overbilling and...

The Securities and Exchange Commission (SEC) has fined American Portfolios Advisors $1.75 million for a series of violations that occurred betwe...

Read More

Read More

NIL Era Exposes Student-Athletes to Financial Fraud and Uncharted Risks

The evolving world of paying college athletics has opened new revenue streams for student-athletes. According to Wealth Management it h...

Read More

Read More

Former Broker Indicted for $9.7M Ponzi Scheme Involving Fake Bond Invest...

Federal authorities have indicted former securities broker Edwin Emmett Lickiss Jr., 77, on wire fraud and money laundering charges for allegedl...

Read More

Read More

Former Fidelity Advisor Indicted for $2 Million Fraud Targeting Former C...

Federal prosecutors have charged former Fidelity Investments advisor Eric James Stone with 10 counts of wire and mail fraud and five counts of m...

Read More

Read More

CFP Board Faces Criticism for Omitting Key Disclosures from Public Searc...

The CFP Board promotes its certificants as the “most trusted” financial professionals and directs consumers to its LetsMakeAPlan.org...

Read More

Read More

LPL Financial Faces Lawsuit Over Alleged California Labor Code Violations

LPL Financial is facing a lawsuit in California Superior Court alleging widespread wage and hour violations affecting non-exempt employees acros...

Read More

Latest News & Articles
Read More

FINRA Suspends Centaurus Dallas Broker Over Excessive Alternative Invest...

FINRA has suspended a Centaurus Financial broker, William Burks, for four months after finding he placed as much as 91 percent of a client&rsquo...

Read More

Read More

Former Morgan Stanley Advisors Win Partial Court Victory in Client Solic...

Two former Morgan Stanley advisors in Hackensack, New Jersey have defeated Morgan Stanley’s initial effort to block them from soliciting c...

Read More

Read More

California Young-Gun Investor Charged in Alleged $6 Million Ponzi Scheme

Federal prosecutors have accused Mihir Deepak Sukthankar, a California resident once celebrated as a teenage trading “prodigy,” of o...

Read More

Testimonials

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

Marci M.

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.

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.

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

Michael M.