News & Updates

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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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Morgan Stanley Expected To Soon Resolve Due Diligence Backlog

Morgan Stanley is expected to resolve an issue pertaining to financial advisors whose client accounts have been recently entangled in a due dili...

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SEC Charges Wisconsin Financial Advisor For Allegedly Defrauding Senior ...

The Securities and Exchange Commission (SEC) has charged a Wisconsin-based financial advisor, Anthony Liddle, with misappropriating $1.9 million...

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Clients Increase Their Demands to Cash Out of REITs Amidst Potential Rec...

Investors collectively have rushed to cash out of some non-traded real estate investment trusts (REITs) during the fourth quarter, which has boo...

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Crypto Lender Genesis Files For Bankruptcy

Cryptocurrency lender Genesis Global LLC has filed for bankruptcy as the crypto crisis spreads following FTX’s recent meltdown. 

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Former LPL Advisor Receives 8-Year Prison Sentence For Misappropriation ...

A former LPL financial advisor recently was sentenced to more than eight years in prison, or 100 months, for his role in a scheme that misapprop...

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Silvergate Shares Skyrocket Amidst FTX Meltdown

Silvergate Capital share prices increased after the company announced its fourth-quarter results, even after FTX’s collapse, which forced ...

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SEC Files Suit Against Gemini and Genesis Over Crypto “Earn” Program

The Securities and Exchange Commission (SEC) has filed suit against two crypto brokerages, Genesis Global Capital and Gemini Trust Co., for brea...

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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 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.

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

Michael M.