News & Updates

Read More

Former Morgan Stanley Advisor Faces FINRA Action Over Undisclosed Loans ...

FINRA filed a complaint against former Morgan Stanley advisor Kirk J. Crossen, alleging that he borrowed $400,000 from an 84-year-old customer e...

Read More

Read More

FINRA Fines Wedbush Securities for Margin-Securities and Disclosure Fail...

The Financial Industry Regulatory Authority (FINRA) ordered Wedbush Securities to pay $150,000 after identifying significant compliance and supe...

Read More

Read More

Webull Faces Scrutiny After Alleged Account Breach and Penny Stock Manip...

An emerging investigation into Webull Financial centers on allegations that an unauthorized third party infiltrated the firm’s security sy...

Read More

Read More

FINRA Sanctions Former Morgan Stanley Broker Over Unauthorized Transfers

A longtime Morgan Stanley financial advisor agreed to a $5,000 fine and a two-month suspension after FINRA found that he executed multiple trans...

Read More

Read More

Crypto's Leverage Shakeout Exposes Structural Risks

The crypto market’s recent downturn erased nearly $20 billion in leveraged positions within hours and half a trillion dollars in market va...

Read More

Read More

UBS Winds Down Funds as First Brands Bankruptcy Ripples Through Global M...

UBS Group AG has begun liquidating two invoice finance funds with direct exposure to First Brands Group, marking one of the earliest moves by a ...

Read More

Read More

Former GWG Chair Charged in Alleged $150 Million Fraud Scheme as Investo...

Federal prosecutors have intensified scrutiny of the long-running collapse of GWG Holdings Inc., unveiling criminal charges against Bradley Hepp...

Read More

Read More

Financial Advisor Accepts FINRA Bar Amidst Investigation into Alleged Mi...

A financial advisor affiliated with a credit union connected to Raymond James Financial agreed to an industry bar after declining to cooperate w...

Read More

Read More

Kyle Busch Alleges Considerable Losses in Indexed Universal Life (IUL) S...

Kyle Busch, a two-time NASCAR Cup Series champion, and his wife Samantha announced that they lost more than $8.6 million in what they describe a...

Read More

Read More

FINRA Fines Independent Financial Group for Allowing Suspended Broker to...

The Financial Industry Regulatory Authority (FINRA) issued a censure and $100,000 fine against Independent Financial Group (IFG) after finding t...

Read More

Latest News & Articles
Read More

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...

Read More

Read More

OFAC Targets Individual Trustee, Sending a Clear Warning to Fiduciaries ...

In a rare move, the Office of Foreign Assets Control (OFAC) penalized a former U.S. government official, underscoring that professional gatekeep...

Read More

Read More

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.

Read More

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.

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 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.

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

Michael 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.