SEC Settles with Colorado-Based Broker-Dealer WM Smith & Company For Failing to Monitor Employee Trading and Nonpublic Research

If you find yourself in trouble with the regulators, call Eccleston Law, you won't regret it.

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If the regulators are after you, and are trying to make a case against you, and you are going to contest their allegations against you, make sure you have the best securities industry defense lawyers, Eccleston Law Firm. My case was spun into a combination of penalties including fines, cash settlements, CE courses and suspension. They were the best I have seen in action. When all was said and done, they had done their magic, my situation was negotiated and settled with a simple "letter of caution" and a case closed without action. It is the most important legal business decision you will ever make, make it Eccleston Law.

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If you are being bothered by the Regulators, call Eccleston Law, you won't regret it.

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