News & Updates

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BREIT Limits Redemption Requests for Sixth Consecutive Month

Blackstone Real Estate Income Trust Inc. has announced that the company limited redemption requests again last month raising concerns among...

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Stifel Fined $2.5 Million After Advisor Charged Excessive Fees to Senior...

Massachusetts’ top securities regulator, William Galvin, has ordered Stifel, Nicolaus & Co. to pay $2.5 million for failing to supervi...

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Former Cetera Advisor Wins $500,000 Arbitration Award Over Failed M&A Deal

A Financial Industry Regulatory Authority (FINRA) arbitration panel has awarded nearly $500,000 to a former Cetera Financial Group advisor,...

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Raymond James and Two Financial Advisors Win $16.4 Million Arbitration A...

A Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered Deutsche Bank to pay $16.4 million to Raymond James and two...

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Top-Ranked UBS Advisor in Las Vegas Wins Expungement With Help From Client

A top-ranked Las Vegas-based UBS financial advisor has prevailed in his expungement hearing with the help of the customer who initially had...

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Prudential Improperly Collected Life Insurance Premiums and Informed Cla...

The Department of Labor (DOL) has agreed to a settlement with Prudential after the insurer improperly collected life insurance premiums fro...

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SEC Releases Final Reg BI Staff Bulletin Addressing Duty of Care

The Securities and Exchange Commission (SEC) recently published a final staff bulletin on Regulation Best Interest (Reg BI), this time high...

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These Two State Regulators Serve as Financial Markets’ Primary First R...

Two state securities regulators frequently stand out as “First Responders.”

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SEC Charges Betterment For Misstatements Regarding Tax Loss Harvesting S...

The Securities and Exchange Commission (SEC) has charged Betterment LLC for material misstatements and omissions regarding its automated ta...

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FINRA Orders RBC to Pay $1.1 Million Over Alleged Churning of Preferred ...

The Financial Industry Regulatory Authority (FINRA) has ordered RBC Wealth Management to pay $1.1 million after the firm allegedly failed t...

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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

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 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.

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.

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

Michael M.