News & Updates

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Attorney Eccleston Quoted in Barron's Article

Attorney Jim Eccleston was recently quoted in a Barron's Article on Goldman Sachs' intent to pursue arbitration after dozens of advisors left th...

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Connecticut Investment Advisor Admits Guilt in $2.7M Cherry-picking Scam

Jonathan Vincent Glenn, the CEO of Glenn Capital in Greenwich, Connecticut, pleaded guilty to federal securities fraud charges, facing a potenti...

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SEC Examination Priorities in 2024

The Securities and Exchange Commission (SEC) has issued its 2024 examination priorities to inform investors and registrants about the focal area...

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Former Steward Advisors Sue Firm as They Depart for LPL

Experienced brokers have witnessed a significant increase in recruiting offers in recent years. However, a lawsuit filed against Steward Partner...

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SEC Imposes Fines on Baird and Interactive Brokers in Ongoing Texting Probe

Several Wall Street firms, including prominent brokerages like Interactive Brokers Group Inc. and Robert W. Baird & Co. Inc., have collectiv...

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Fidelity Hit with $1.65 Million Fine Over Options Trading Standards

Massachusetts Secretary of the Commonwealth, William F. Galvin, has imposed a $750,000 fine on Fidelity Brokerage Services for their alleged pas...

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Exploring Account Fees and Bonuses: Highlights from Cetera and Avantax W...

Cetera Financial Holdings senior management hosted an online seminar with Avantax Inc.'s financial advisors to address concerns raised by 3,100 ...

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Goldman's Aggressive Legal Tactics to Enforce Non-Solicitation Agreement...

Two former Goldman Sachs Personal Financial Management advisors based in California have filed a lawsuit challenging the enforceability of their...

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FINRA Takes Steps to Restrict Non-Lawyer Representation in Investor Arbi...

The Financial Industry Regulatory Authority (FINRA) has proposed a new rule prohibiting individuals who are not lawyers from receiving compensat...

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FINRA Extends Remote Inspection Provision Through 2024

The Financial Industry Regulatory Authority (FINRA) has informed the Securities and Exchange Commission (SEC) of its intention to continue a tem...

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Latest News & Articles
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FINRA Suspends Former Broker Over Undisclosed Business Activities, Annui...

The Financial Industry Regulatory Authority (FINRA) has suspended former registered representative Clayton K.

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NASAA Advances Investment Adviser Advertising Reforms and Franchise Brok...

The North American Securities Administrators Association (NASAA) has approved significant regulatory initiatives aimed at modernizing oversight ...

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Illinois Regulators Accuse "Mr. Finance" of Operating Unlicensed Investm...

Illinois securities regulators have accused a Chicago-area businessman known as "Mr.

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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.

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.

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.

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 want to thank you for your excellent professional representation. It was greatly appreciated.

Michael M.