News & Updates

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Bank Sues Founders of Precedent Wealth

Cadence Bank has filed a lawsuit against the founders of Precedent Wealth, a San Antonio RIA, accusing them of stealing confidential information...

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Advisor Ordered to Pay $2.6 Million in Damages for Breaching Asset Purch...

A FINRA arbitration panel has ordered Nicole E. Sennett to pay $2,557,000 in compensatory damages to Monocacy Wealth Partners and its founders, ...

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FINRA Targets Repeat Offenders and Reg BI Violations in Enforcement Focus

AdvisorHub reports that the Financial Industry Regulatory Authority (FINRA) is advocating more stringent penalties for repeat offenders...

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SEC and FinCEN Propose Stricter Anti-Money Laundering Rules for Investme...

The Securities and Exchange Commission (SEC) and the Financial Crimes Enforcement Network (FinCEN) have proposed a rule to enhance anti-money la...

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SEC Fines Five Investment Advisory Firms for Marketing Rule Violations

The Securities and Exchange Commission (SEC) has taken action against five registered investment advisory (RIA) firms for breaching i...

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Stifel Fined Nearly $3 Million for Supervisory Failures

Stifel Financial Corp. has agreed to pay fines and restitution totaling nearly $3 million due to deficiencies in supervision and compliance rega...

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Department of Labor Unveils New Fiduciary Rule

The Department of Labor (DOL) has announced a comprehensive update to its fiduciary rule, marking a significant overhaul of regulatio...

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FBI Report Highlights Rising Elder Fraud Trends

The FBI's Internet Crime Complaint Center (IC3) released its 2023 Elder Fraud Report, revealing a concerning surge in elder fraud complaints and...

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Financial Advisor Faces Prison for Defrauding Military Families

A former financial advisor, Caz Craffy, faces a 20-year prison sentence for defrauding families of deceased military servicemembers, ...

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Fidelity Advisor Files Lawsuit Alleging Wrongful Termination Over Whistl...

A former Fidelity Investments advisor, Michael Maeker, has initiated legal action against his former firm, alleging wrongful termination in resp...

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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.

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.

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.

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

Marci M.

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.