Stephany McLaughlin Shares Her Input OnWallStreet

Posted on December 23rd, 2016 at 11:58 AM
Stephany McLaughlin Shares Her Input OnWallStreet

Recently, Stephany McLaughlin shared her thoughts on former Southwest Securities adviser Kimberly Rose and her journey through arbitration. "They did not prepapre her in anyway.  Her supervisors ignored her request for assistance," said Stephany McLaughlin. Explaining that Kimberly Rose was wrongly terminated for failing to comply with an audit, despite the fact that she did ask for her supervisors assistance.  

McLaughlin explains that Rose's case is now in the process of expungement.  "This was the right result. Kim Rose did not deserve this. Other advisers in her position should seriously consider filing an arbitration to clear their records," she says.

To read the full article, click here.  

The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities and employment matters. The securities lawyers at Eccleston Law also practice a variety of other areas of securities for financial advisors including broker litigation & arbitrationtransition contract reviewemployment mattersFINRA defense , and much more. Our attorneys draw on a combined experience of nearly 65 years in delivering the highest quality legal services. If you are in need of legal services, contact us to schedule a one-on-one consultation today.  

 

Related Attorneys: James J. Eccleston, Stephany D. McLaughlin

Tags: Eccleston, Eccleston Law, Eccleston Law LLC, James Eccleston, OnWallStreet, Stephany McLaughlin, adviser, Southwest Securities, wrongful termination,

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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.

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