News & Updates

Read More

GPB Capital Executives Found Guilty of Securities Fraud

David Gentile, the founder and CEO of GPB Capital Holdings, and Jeffry Schneider, chief of broker-dealer Ascendant Capital, were found guilty on...

Read More

Read More

Former Morgan Stanley Advisor Fined and Suspended for Unauthorized Trading

FINRA has fined a former Morgan Stanley advisor, Craig Sherman Thistlethwaite, $10,000 and suspended him for 60 days for unauthorized trading an...

Read More

Read More

DOJ Launches Pilot Whistleblower Program Offering Financial Incentives f...

The Department of Justice (DOJ) has introduced a new pilot program offering financial rewards to whistleblowers who provide original information...

Read More

Read More

FINRA Fines Former LPL Rep Misappropriating Customer Data

The Financial Industry Regulatory Authority (FINRA) has fined former LPL Financial representative Nathaniel Adams $5,000 and suspended him for t...

Read More

Read More

Ex-Morgan Stanley Advisor Accepts Industry Bar for Failing to Cooperate ...

A former Morgan Stanley advisor, John Scott McCoy Jr., has accepted an industry bar instead of cooperating with a regulatory investigation into ...

Read More

Read More

SEC Warns of Increasing Investment Fraud Threats

The SEC’s Office of the Investor Advocate recently submitted its objectives report for fiscal year 2025 to Congress, highlighting the grow...

Read More

Read More

B. Riley Financial Faces New Challenges with Struggling Texas Retailer

B. Riley Financial Inc., a boutique investment bank, faces fresh turmoil due to its involvement with Conn’s Inc., a Texas-based home-furni...

Read More

Read More

Two Raymond James Advisors Barred for Failing to Cooperate in FINRA Inve...

FINRA has barred two Raymond James Financial Services Inc. advisors, Bryan Noonan and Thomas Reyes, from the securities industry due to their fa...

Read More

Read More

LPL Financial Faces Lawsuit Over Low Interest Rates in Cash Sweep Programs

LPL Financial is the latest target of a lawsuit concerning the interest rates it offers on uninvested cash held in customer accounts.

Read More

Read More

SEC's Private Fund Advisers Rules

The Securities and Exchange Commission (SEC) is tightening the regulatory framework for Registered Investment Advisers (RIAs) with the implement...

Read More

Latest News & Articles
Read More

McKinsey Forecasts Sweeping Changes for Wealth Management Over the Next ...

The U.S.

Read More

Read More

Stifel Faces Proposed ERISA Class Action Over 401(k) Fund Performance

According to ThinkAdvisor, Stifel Financial now faces a proposed class action lawsuit that accuses the firm of mismanaging its profit sharing 40...

Read More

Read More

LPL and Ameriprise Notify Clients of Cybersecurity Incidents Involving A...

LPL Financial and Ameriprise Financial Services recently notified certain clients about separate cybersecurity incidents that exposed private in...

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.

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

Marci 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.

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.

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.

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.