News & Updates

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Wells Fargo Under SEC Scrutiny for Cash Sweep Programs

The Securities and Exchange Commission (SEC) is investigating Wells Fargo & Company over cash sweep options provided to investment advisory ...

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FINRA Alleges $2 Million in Client Losses and $2 Million in Commissions ...

According to a Financial Industry Regulatory Authority (FINRA) complaint, Stewart "Paxton" Ginn excessively traded accounts over two and a half ...

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SEC Charges Former Advisor with $2 Million Fraudulent Scheme

The Securities and Exchange Commission (SEC) has announced the filing of charges against an investment adviser based in Santa Maria, California....

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The Classic 60-40 Investment Strategy Faces its Most Challenging Year in...

Millions of Americans are experiencing disruption in their retirement planning due to rising interest rates and inflation.

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SEC Charges Prophecy Asset Management's President/CCO with Multi-Year Fr...

The Securities and Exchange Commission (SEC) has filed charges against John Hughes, who served as the president and chief compliance officer of ...

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New DOL Fiduciary Rule Takes Aim at Loopholes in Retirement Savings

The Department of Labor (DOL) unveiled its latest retirement security rule, which involves altering the definition of an investment advice fiduc...

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SEC Focuses on Increased Scrutiny for Hybrid Firms in 2024 Examination P...

As the ranks of hybrid advisor-brokers, registered with both the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory ...

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Willis Towers Watson PLC Files Lawsuit Against Alliant, Alleging Employe...

Willis Towers Watson PLC has filed a lawsuit against Alliant Insurance Services Inc. in a federal district court in Richmond, Virginia.

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BREIT's September Performance Records Negative Total Return

Blackstone Real Estate Income Trust (“BREIT”), sponsored by The Blackstone Group, has updated the net asset values (NAV).

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High Net Worth Investors Surge in Pre-IPO Securities Market

High Net Worth Investors (HNWIs) have recently emerged as the dominant buyers...

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Latest News & Articles
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Investor Redemptions Rise in Nontraded BDCs Amid Credit Concerns

Financial advisors and their clients have increased redemptions from nontraded business development companies (BDCs) following a series of high-...

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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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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.

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.

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 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.