News & Updates

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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...

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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...

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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...

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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...

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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 ...

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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...

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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...

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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...

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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.

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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...

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Latest News & Articles
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Commonwealth Financial Network Resolves SEC Conflict of Interest Case

Commonwealth Financial Network has agreed to pay $5 million to resolve a long-standing conflict of interest case brought by the Securities and E...

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KKR Limits Redemptions in Private Credit Fund Amid Rising Investor Withd...

KKR & Co.

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Former Texas Advisor Pleads Guilty in Multi-Million Dollar Ponzi Scheme

A former financial advisor and media personality in San Antonio has admitted to defrauding clients in a large-scale Ponzi scheme involving hundr...

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Testimonials

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.

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 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.

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.