News & Updates

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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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Massachusetts Secretary of the Commonwealth Launches Investigation Into ...

Secretary of the Commonwealth, William Galvin, has announced an inquiry by his securities division to investigate the utilization of AI by compa...

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FINRA Penalizes Former LPL Advisor for Falsified Signatures

A former LPL Financial advisor, Bradley T. Wastler, has received a ten-month suspension and a $7,500 fine from the Financial Industry Regulatory...

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Bankruptcy Court Approves DWG's Reorganization Plan

The Bankruptcy Court for the Southern District of Texas has approved GWG Holdings Inc.'s reorganization plan.

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Fifth Circuit Upholds Conviction of UDF Executives in Securities Fraud Case

In a recent ruling, the Fifth Circuit upheld the conviction of United Development Funding (UDF) executives on multiple charges of wire and secur...

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SEC Finds Deficiencies in Broker-Dealers' Anti-Money Laundering Policies

The Securities and Exchange Commission (SEC) has issued an alert to broker-dealers regarding deficiencies found in their examinations related to...

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Judge Directs RIA's Poaching Suit Against Cambridge to Arbitration

A Virginia federal judge recently dismissed a complaint filed by a registered investment advisor (RIA), Colonial River Wealth Advisors, against ...

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DOJ Accuses Advisors of $5M Fraud Amid Lawsuit Against Trump Attorney

The Justice Department has charged investment advisor brothers Adam and Daniel Kaplan with wire and investment fraud and money laundering. ...

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Former J.P. Morgan Advisor Receives Additional Sanctions For Misleading ...

Last year, a J.P. Morgan advisor, Howard S. Rothman, was required to pay $100,000 due to alleged perjury during a contentious arbitration with h...

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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.

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.

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

Marci 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.

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

Michael M.