News & Updates

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Clients Sue Charles Schwab and Hightower Advisors Over $1 Million Fraud

Clients are suing Charles Schwab & Co. and Hightower Advisors after fraudsters allegedly stole nearly $1 million from their retirement accou...

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Tech Drip Hits Leveraged ETFs Hard, Highlighting Investment Risks

Recent AI-driven rallies in tech stocks have encouraged investors to buy the dip, but this strategy has backfired for those using leveraged exch...

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Why Financial Advisors Should Embrace a Niche Market

FinancialPlanning recently discussed how focusing on a niche can accelerate growth, especially when advisors promote th...

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Kentucky Advisor Sues LPL Financial for Alleged Corporate Raid

A Kentucky advisor, Mark Lamkin, has filed a lawsuit against LPL Financial, claiming the independent broker-dealer orchestrated a corporate raid...

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FINRA Plans Fee Increases Amid Rising Costs and Losses

The Financial Industry Regulatory Authority (FINRA) has announced plans to raise fees for its approximately 3,300 broker-dealer member firms. Ac...

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Raymond James Settles with Oregon Over Excessive Commissions

Raymond James recently settled a case with Oregon's Division of Financial Regulation (“DFR”), agreeing to pay nearly $200,000 over a...

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Former Florida Financial Advisor Charged with $2.7 Million Fraud Scheme

According to ThinkAdvisor, federal prosecutors have charged former Florida financial advisor Jared Dean Eakes with wire fraud, all...

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Financial Advisors Win Arbitration Over "Book of Business" Dispute

In a lengthy arbitration dispute, two Miami-based financial advisors, Eduardo Augsten and Gustavo Vega, battled over revenue generated from thei...

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Cambridge Investment Research Faces FINRA Review and SEC Penalties

Cambridge Investment Research is under review by FINRA's examination staff and anticipates making a $500,000 restitution payment to certain clie...

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Financial Institutions Struggle to Combat Rising Authorized Transfer Scams

According to InvestmentNews, financial institutions are increasingly grappling with authorized transfer scams as scammers become m...

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Latest News & Articles
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FINRA Accuses Spartan Capital of Widespread Churning That Allegedly Harm...

The Financial Industry Regulatory Authority (FINRA) has brought a disciplinary complaint against Spartan Capital Securities and several senior l...

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California Investors Allege Unsuitable DST Recommendations in FINRA Arbi...

Two investors from the San Francisco Bay Area have filed a FINRA arbitration claim against brokerage firm Realized Financial and its financial a...

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FINRA Arbitration Panel Orders J.P. Morgan to Amend Form U-5, Flags Pote...

A Financial Industry Regulatory Authority (FINRA) arbitration panel recently issued an unusually detailed decision in a dispute between J.P. Mor...

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Testimonials

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.

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.

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.