Current Investigations 

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Former Broker Philip Anthony Riposo Has Been Barred By FINRA

A Massachusetts broker, Philip Riposo (CRD#40056) most recently was registered at United Planners Financial Services of America and has 12 customer...

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A Look at Broker Justin Connors's BrokerCheck

Broker Justin Mathew Connors (CRD#2805785) currently is registered at Independent Financial Partners in Coco Beach, Florida. Connors has two custom...

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Former Broker Lon Faccini Jr. Has Nine Customer Disputes on His BrokerCheck

Fromer Broker Lon Faccini Jr. (CRD#2736849) most recently was registered at TSG Capitol Advisors in Ronkonkoma, New York. There are nine customer d...

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A Look at Broker Charles Weldon's BrokerCheck

Broker Charles Weldon (CRD# 1030659) currently is registered at Independent Financial Group LLC, in Boca Raton, Florida. Weldon has seven customer ...

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Broker Aaron Davis Has Three Customer Disputes Reported on His BrokerCheck

Broker Aaron Davis (CRD# 4746025) currently is registered at Edward Jones in Frisco, Texas. Davis has three customer disputes reported on his Broke...

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Former Broker Sloan Thompson Has 32 Customer Disputes According to Broke...

Former Broker Sloan Thompson (CRD# 2588490) was most recently registered at Truist Investment Services, Inc, in Savana, Georgia. Thompson has 32 c...

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Broker Rebecca Sue Gaylor Has Three Customer Disputes on Her BrokerCheck

Broker Rebecca Sue Gaylor (CRD# 1452113) is currently registered at J.W. Cole Advisors, Inc, in Phoenix, Arizona. Gaylor has three customer dispute...

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Broker Michael Lickiss Has Seven Customer Disputes on His BrokerCheck

Broker Michael Lickiss (CRD# 5135936) most recently was registered at Purshe Kaplan Sterling Investments in Danville, California. According to Brok...

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Broker Bruce Galbraith Has Four Customer Complaints on His BrokerCheck

Broker Bruce Galbraith (CRD# 1412992) currently is registered at Siebert Advisor NXT, LLC in Seal Beach, California. According to BrokerCheck, Galb...

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A Look at the BrokerCherck for Broker Andrew Scheirer II

Broker Andrew Scheirer II (CRD# 4256666) most recently was registered at Purshe Kaplan Sterling Investments in Lake Mary, Florida. Scheirer has fiv...

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Latest News & Articles
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SEC Accuses Upright Financial and Founder of Breaching Prior Settlement ...

According to InvestmentNews, the Securities and Exchange Commission (“SEC”) has charged registered investment advisor Uprig...

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Ex-Merrill Lynch Advisor to Appeal Ruling Dismissing ERISA Class Action

A former Merrill Lynch advisor plans to challenge a federal judge’s ruling that dismissed his proposed class action against the firm when ...

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FINRA Proposes Accelerated Arbitration for Ill Parties and Elderly

The Financial Industry Regulatory Authority (“FINRA”) has submitted a proposed rule change to the SEC aimed at speeding up arbitrati...

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Testimonials

Fantastic news!!!!  Your professionalism, support and expertise were greatly appreciated.  You made a difficult situation much more bearable.

Marci M.

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

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.

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.

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.

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.