News & Updates

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SEC Seeks to Expand “Dealer” Definition to Expand Regulatory Oversight

The Securities and Exchange Commission (SEC) is seeking to expand its definition of “securities dealers”, which has resulted in...

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FINRA Submits Further Revisions To Remote Supervision Proposal

The Financial Industry Regulatory Authority (FINRA) has submitted to the Securities and Exchange Commission (SEC) another revision to one of its...

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FINRA Warns Firms Regarding Fraudulent Account Transfers

The Financial Industry Regulatory Authority (FINRA) is warning financial advisory firms about a recent increase in fraudulent transfers of ...

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Morgan Stanley Ordered to Pay $782,000 Over Mismanagement of Client’s ...

A Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered Morgan Stanley to pay $782,000 to a client’s estate a...

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Non-Traded REIT Redemptions Exceed 350% of Fundraising in February

Fundraising among non-traded real estate investment trusts has dipped to $489 million in February 2023, which constitutes the lowest point ...

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SEC Charges Financial Advisor With Misappropriating Funds From NBA Players

The Securities and Exchange Commission (SEC) has charged a former Morgan Stanley advisor, Darryl Cohen, with misappropriating nearly $1 mil...

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Coinbase Receives SEC Wells Notice Regarding Intent to File Suit Over Cr...

Coinbase Global announced that it has received a Wells Notice from the Securities and Exchange Commission (SEC) declaring the regulator&rsq...

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FINRA Suspends Long Island Advisor Over Inaccurate Client Contact Notes

The Financial Industry Regulatory Authority (FINRA) has issued a two-month suspension to a Long Island-based advisor, Derek Rehill, for all...

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SEC Charges Financial Advisor and Firm for Defrauding Clients with Annui...

The Securities and Exchange Commission (SEC) has charged a Massachusetts-based financial advisor, Jeffrey Cutter, and his firm, Cutter Financial...

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Heartland Bank & Trust Co. Agrees to $9 Million Settlement For Allegedly...

The Securities and Exchange Commission (SEC) has agreed to a $9 million settlement
with Heartland Bank & Trust Co. over the bank’...

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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

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.

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 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.