News & Updates

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DOJ Probes Silvergate Over FTX, Alameda Research Involvement

U.S. Department of Justice (DOJ) prosecutors have launched a criminal investigation into Silvergate’s dealings with FTX and Alameda Resear...

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SEC Uncovers Massive $500 Million Ponzi Scheme

After Las Vegas investigative reporter Jeff German was killed outside his home in September 2022, The Washington Post and the Las Vegas Review-J...

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FINRA Suspends Two New York Advisors Over Reg BI Violations

The Financial Industry Regulatory Authority (FINRA) has suspended two New York-based advisors for violating Regulation Best Interest (Reg BI).&n...

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J.P. Morgan Files Suit Against Two Advisors Who Departed For Merrill Lynch

J.P. Morgan has asked a New York state court to issue a temporary restraining order (TRO) barring two of its former advisors from soliciting the...

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SEC Settles With Moors & Cabot For $1.9 Million Over Disclosure Failures

The Securities and Exchange Commission (SEC) has ordered Moors & Cabot to pay $2 million to settle allegations that the firm breached its fi...

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FINRA Bars Former UBS Advisor Who Allegedly Misappropriated $7.2 Million

The Financial Industry Regulatory Authority (FINRA) has barred a former UBS financial advisor for allegedly misappropriating millions of dollars...

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SEC Issues New Warning Regarding Reg BI Compliance Lapses

The Securities and Exchange Commission (SEC) has issued a warning indicating that financial advisory firms are relying on outdated systems to ac...

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Advisor Group Firms Avoid Fines Over Sales Charge Waivers

The Financial Industry Regulatory Authority (FINRA) previously had ordered three Advisor Group financial advisory firms to pay nearly $515,000 i...

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Morgan Stanley Fines Some Advisors $1 Million Over Messaging Lapses

Morgan Stanley has fined some of its own financial advisors more than $1 million each for communicating with clients on WhatsApp and other messa...

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SEC Charges Pennsylvania Investment Advisor With Operating Fraudulent Sc...

The Securities and Exchange Commission (SEC) has charged a former investment advisor, Joshua Coleman, with allegedly operating a fraudulent sche...

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Latest News & Articles
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FINRA Fines Broker-Dealer for Repeated Form CRS Disclosure Failures

The Financial Industry Regulatory Authority (FINRA) fined VSI Securities Inc., formerly known as Venecredit Securities Inc., $20,000 for failing...

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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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Testimonials

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

Michael 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.

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

Marci M.

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.

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.

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.