News & Updates

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Former LPL Advisor Sanctioned by FINRA Over Undisclosed Real Estate Venture

FINRA has fined a former LPL Financial advisor and suspended him for three months after allegations surfaced that he operated a real estate deve...

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FINRA Sanctions Former Broker for Undisclosed Private Equity and Securit...

FINRA has sanctioned former registered representative Thomas A. Rapp for engaging in undisclosed outside business and private securit...

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SEC Charges Three Texas Residents in $91 Million Ponzi Scheme

The Securities and Exchange Commission (“SEC”) has filed charges against Kenneth W. Alexander II, Robert D. Welsh, and Caedrynn E. C...

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FINRA Opens Examination Into B. Riley's Wealth Management Operations Ami...

B. Riley Financial Inc. continues to draw regulatory attention, with the firm recently disclosing that FINRA has launched a cause examination in...

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Federal Judge Rejects Vanguard’s $40 Million Class Settlement, Citing ...

A federal judge has rejected a proposed $40 million class-action settlement with Vanguard, finding that the deal offered little to no real value...

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Morgan Stanley Terminates Veteran Financial Advisor Over Real Estate Deal

Morgan Stanley has terminated advisor Erich A. Canseco, a 17-year industry veteran whose Houston-based team managed $1 billion in assets and ear...

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Wave of ERISA Class Actions Challenges 401(k) Plan Practices

A surge in class action lawsuits under the Employee Retirement Income Security Act (ERISA) is forcing employers to reevaluate how they manage wo...

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IRS Clarifies Theft Loss Deductions for Scam Victims Amid Rising Fraud R...

The IRS has issued new guidance clarifying when victims of financial scams can claim theft loss deductions on their taxes. According to Fina...

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The Lower Barriers and Higher Risks of Private Market Investing

Investing in private companies is becoming more accessible—but whether that is a good thing remains up for debate.

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Founder of AML Bitcoin Convicted in $5 Million Cryptocurrency Fraud Scheme

A California federal jury has convicted Rowland Marcus Andrade, the founder of AML Bitcoin, on charges of wire fraud and money laundering.

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Latest News & Articles
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State Regulators Fine Five Major Broker-Dealers Nearly $10 Million for E...

A coalition of state securities regulators has ordered five broker-dealers — including Edward Jones, LPL Financial, RBC, Stifel, and TD Am...

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SEC Charges New Mexico Investment Advisor with Fee Fraud and Fiduciary B...

The Securities and Exchange Commission (“SEC”) has charged David A. Nagler and his firm, New Line Capital LLC, with defrauding clien...

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FINRA Sanctions Advisor for Accepting $1 Million Inheritance from Client...

FINRA has fined and suspended veteran advisor Kenneth J. Malm for accepting a $1 million inheritance from a client without receiving the necessa...

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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.

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

Michael M.

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.

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 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.