News & Updates

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FINRA Fines AAG Capital for RILA Exchange Violations

The Financial Industry Regulatory Authority (“FINRA”) has fined AAG Capital $100,000 and ordered the firm to pay nearly $39,000 in r...

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SEC Charges Former Real Estate CEO in $46 Million Investment Fraud Scheme

The Securities and Exchange Commission (“SEC”) has charged Kenneth Mattson, former CEO of LeFever Mattson, with orchestrating a $46 ...

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Audit Firms Agree to $46 Million Settlement in GPB Capital Fraud Case

In a significant development in the GPB Capital fraud litigation, several audit firms have agreed to pay a combined $46 million to settle claims...

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FINRA Sanctions Former Advisor for Unsuitable Variable Annuity Exchanges

The Financial Industry Regulatory Authority (FINRA) has fined and suspended former broker Thomas Vigil for making unsuitable variable annuity re...

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GPB Capital Executives Sentenced for Fraud in Private Placement Scheme

Two former top executives at GPB Capital Holdings received prison sentences for their roles in a years-long investment fraud scheme.

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New York Tax Preparer Charged in $50 Million Ponzi Scheme

New York’s Attorney General announced the arrest of Miles Burton Marshall, an upstate New York tax preparer and insurance agent accused of...

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Former Morgan Stanley Advisor Banned for Profit-Sharing Scheme and Polic...

Joseph A. Eisler has agreed to a permanent ban from the brokerage industry, according to a recent settlement with the Financial Industry Regulat...

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CFP Board Announces Certification Fee Increase

The CFP Board of Directors has approved a $120 increase to the annual certification fee for CFP® professionals, raising the total to $575.

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Investor Sues Both Schwab and Hightower Over Pledged Asset Line

A retiree has filed a lawsuit accusing Charles Schwab & Co. and Hightower Advisors of financial elder abuse, fraud, and breach of fiduc...

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FINRA Sanctions Former Broker for Unsuitable, High-Risk GWG Bond Sales

The Financial Industry Regulatory Authority (FINRA) has suspended and fined a former advisor for what FINRA alleged were excessively risky inves...

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Latest News & Articles
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Veteran Advisors Challenge Focus Financial Overbroad Non-Competes in Fed...

Two former advisors from Edge Capital Group have filed a federal lawsuit challenging what they describe as excessively restrictive employment ag...

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Maryland Bars Financial Advisor Over Excessive Fees and Unsuitable Inves...

The Maryland Securities Commissioner has barred financial advisor Timothy Pickett and his firm, Blue Anchor Capital Management, from operating i...

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FINRA Proposes Rule Change to Delay Immediate Sanctions Pending SEC Review

The Financial Industry Regulatory Authority (“FINRA”) has proposed a rule change that would allow broker-dealers and registered repr...

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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 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.

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

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

Michael M.