News & Updates

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FINRA Orders D.E. Shaw to Pay Former Fund Manager $52 Million in Defamat...

A Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered D.E. Shaw to pay a former fund manager $52...

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CFP Board Suspends Advisor Over Improper GWG Bond Sales

The Certified Financial Planner Board of Standards Inc. (CFP Board) has issued an interim suspension against Patrick Egan, who is an advisor at ...

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UBS Agrees to Pay $25 Million to Settle SEC Fraud Charges Related to YES

The Securities and Exchange Commission (SEC) has agreed to a settlement with UBS Financial Services. The firm has agreed to pay $25 million to s...

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Infinity Q Founder Charged by SEC For Overvaluing Assets

Infinity Q, a registered investment adviser with the Securities and Exchange Commission (SEC), oversaw a now-shuttered mutual fund, the Infinity...

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Municipal Bonds Increasingly Held by Funds Rather Than Retail Investors

The percentage of outstanding municipal bonds owned by U.S. retail investors dipped to 40% in the first three months of the year in comparison t...

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Leveraged Municipal Bond Funds Hit With Losses As Bond Market Falters

The recent bond rout has led to substantial losses for leveraged municipal bond funds. 

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FINRA Fines National Securities $9 Million Over GPB and Other Misconduct

The Financial Industry Regulatory Authority (FINRA) has fined National Securities over a host of issues, includi...

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Wells Fargo Agrees To $3.75 Million Deal Concluding Ponzi-Aid Dispute

Investors who alleged that Wells Fargo aided and abetted a real estate Ponzi scheme have asked a California fede...

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FINRA Fines United Planners Over GPB Private Placement Sales

The Financial Industry Regulatory Authority (FINRA) has fined United Planners’ Financial Services of Ameri...

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J.P. Morgan Advisors Ordered To Pay Former Partner $620,000

A Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered a J.P. Morgan team to pay their ...

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Latest News & Articles
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FINRA Seeks to Make Remote Inspection Program Permanent

The Financial Industry Regulatory Authority (FINRA) is seeking approval from the Securities and Exchange Commission (SEC) to make its pandemic-e...

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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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Testimonials

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Michael 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.

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.

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.

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.