News & Updates

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Weighing the Upsides and Downsides of Alternative Investments

In its 2023 Financial Advisor Survey, iCapital surveyed 400 U.S. registered financial professionals. Those professionals, who either use or are ...

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SEC Accuses Investment Fund of Engaging in Deceptive Practices

The Securities and Exchange Commission (SEC) has brought settled charges against Summitcrest Capital Inc. and its principals, Johnny Tseng and K...

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SEC Takes Action Against Advisor for Operating with Revoked Registration

The Securities and Exchange Commission (SEC) has barred an investment adviser representative from conducting business.

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Goldman Launches Initiative to Address Gaps Following Fed Oversight

Goldman Sachs Group Inc. is experiencing a hiring spree due to a new wave of regulatory scrutiny in the US.

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Damage Claims Exceed $24 Million for Stifel Advisor's Note Strategy

Complaints against an advisor from Miami-based Stifel Nicolaus & Co. are increasing due to a structured note strategy, and additional millio...

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FINRA Announces Enhancements to Advisor Expungement Process

The Financial Industry Regulatory Authority (FINRA) has adopted several reforms to tighten the expungement process and has set an implementation...

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SEC Uncovers

Wall Street regulators recently imposed hundreds of millions of dollars in penalties on broker-dealers. The penalties resulted from their failur...

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SEC Takes Action Against 11 Wall Street Firms for Record-keeping Violations

The Securities and Exchange Commission (SEC) has charged 11 firms with significant and longstanding failures to uphold electronic communication ...

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SEC Charges Fund Administrator Over Ignoring Warning Signs

The Securities and Exchange Commission (SEC) has settled charges against Theorem Fund Services LLC (TFS) for failing to respond to red flags rel...

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FINRA Bans Former Raymond James Advisor for Attempting to Deceive Invest...

The Financial Industry Regulatory Authority (FINRA) has barred a former Raymond James advisor. 

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Latest News & Articles
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FINRA Charges Sutter Securities and Former CEO in Excessive Trading Case...

The Financial Industry Regulatory Authority (FINRA) has filed an enforcement complaint against Sutter Securities Inc.

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

The U.S.

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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...

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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.

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.

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.

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 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.