News & Updates

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FINRA Arbitration Claims Decline

Fewer investors have been filing arbitration claims to recover their investment losses. However, industry expert...

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Federal Jury Convicts Sarasota Advisor Over $80 Million Ponzi Scheme

A federal jury has convicted a Sarasota-based advisor, Michael DaCorta, for conducting an $80 million Ponzi sche...

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FINRA Reintroduces Expungement Proposal After Substantial Pushback

After the Financial Industry Regulatory Authority (FINRA) withdrew a broker expungement proposal, the regulator has reversed course and now is r...

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FINRA Expected to Address Retail Investor Exposure to Complex ETFs

The Financial Industry Regulatory Authority (FINRA) recently requested comments on whether stricter measures oug...

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Morgan Stanley Seeks to Stop Two Departing Advisors from Transferring In...

Morgan Stanley is seeking a temporary restraining order (TRO) in an effort to block two of its former New-Jersey...

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SEC Doubles Size of Crypto Assets and Cyber Enforcement Unit

The Securities and Exchange Commission (SEC) has added 20 new positions to the enforcement unit responsible for ...

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Amateur Investors Took a Billion-Dollar Loss Trading Options Amidst Covi...

Amateur day traders lost nearly $1 billion during Covid-19, which climbs to $5 billion when including the costs of trading with market-makers, a...

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FINRA Cracks Down On UBS and Berthel Fisher

The Financial Industry Regulatory Authority (FINRA) has issued a $350,000 fine to UBS for failing to report trades in TRACE-eligible securities....

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GWG Blames SEC Investigation Of Sales Practices For Its Collapse

In its Chapter 11 bankruptcy filings, GWG has criticized the Securities and Exchange Commission’s (SEC’s) investigation of broker-de...

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FINRA Bars Former Ameriprise Advisor Who “Falsified” Client Event Ex...

The Financial Industry Regulatory Authority (FINRA) has barred a former Ameriprise advisor who allegedly falsifi...

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Latest News & Articles
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Delaware Regulators Fine Kovack Advisors $985,000

Kovack Advisors Inc., the registered investment adviser affiliate of independent broker-dealer Kovack Securities Inc., agreed to pay a $985,000 ...

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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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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 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.

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.

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.

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.