News & Updates

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Top Merrill Advisor Resigns Amid Customer Complaints

William King, a top-ranked advisor, voluntarily resigned last month after receiving at least ten customer complaints since August.

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Wells Fargo Pays $1 Billion to Settle Class-Action Lawsuit

Wells Fargo has agreed to pay $1 billion to settle a shareholder lawsuit that accused the company of making misleading statements related t...

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Federal Prosecutors Charge Hedge Fund Manager For Ponzi Scheme

A former Chicago-based commodities trader, Phillip Galles, has been charged with a single count of wire fraud for allegedly misappropriatin...

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FINRA Expels SW Financial and Suspends Chief Executive Officer For Reg B...

The Financial Industry Regulatory Authority (FINRA) has sanctioned a New York-based financial advisory firm, SW Financial, and its Chief Ex...

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Financial Advisory Firms Seek to Prevent “Disharmony” on Large Teams

Financial advisory firms and company executives continue to promote organizing as a team, which supposedly creates an improved service mode...

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Federal Judge Reaffirms Injunctions Against Advisors Who Departed USI fo...

A federal judge has upheld and expanded an injunction against several former USI financial advisors who departed for Lockton.

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SEC Charges Two Texas Advisors Over $155 Million Fraudulent Oil & Gas Of...

The Securities and Exchange Commission (SEC) has charged Roy Hill and Eric Shelly along with two entities under their ownership, Clean Ener...

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Goldman Sachs Pays $215 Million To Settle Class-Action Suit on Underpayi...

Goldman Sachs has agreed to pay $215 million to settle a class-action lawsuit that accused the company of systemically underpaying female e...

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U.S. Government To Investigate Goldman’s Role in Failed SVB Deal

U.S. governmental agencies are set to investigate Goldman Sachs’ role in Silicon Valley Bank’s (SVB’s) last-ditched effor...

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SEC Charges Son and Father-in-Law Who Targeted Church Members in $20 Mil...

The Securities and Exchange Commission (SEC) has charged Brett Bartlett and his father-in-law, Scott Miller, along with their companies ove...

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Latest News & Articles
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SEC Alleges Illinois Investment Adviser Misappropriated Investor Funds a...

According to a litigation release published on SEC.gov, the Securities and Exchange Commission (SEC) has charged John Sterling Myers and his fir...

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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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Testimonials

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.

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

Marci 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.

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.