The Securities and Exchange Commission (SEC) has announced the filing of charges against an investment adviser based in Santa Maria, California.
I want to thank you for your excellent professional representation. It was greatly appreciated.
The Securities and Exchange Commission (SEC) has announced the filing of charges against an investment adviser based in Santa Maria, California.
Millions of Americans are experiencing disruption in their retirement planning due to rising interest rates and inflation.
The Securities and Exchange Commission (SEC) has filed charges against John Hughes, who served as the president and chief compliance officer of registered investment adviser Prophecy Asset Management LP.
The Department of Labor (DOL) unveiled its latest retirement security rule, which involves altering the definition of an investment advice fiduciary under the Employee Retirement Income Security Act (ERISA).
As the ranks of hybrid advisor-brokers, registered with both the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA), continue to grow, regulators are intensifying their scrutiny.
Blackstone Real Estate Income Trust (“BREIT”), sponsored by The Blackstone Group, has updated the net asset values (NAV).
High Net Worth Investors (HNWIs) have recently emerged as the dominant buyers in this market segment.
Safeguard Metals and its sole owner, Jeffrey Ikahn, reportedly defrauded customers to whom it promoted gold IRAs, resulting in alleged losses of $68 million as reported recently by InvestmentNews.
The Financial Industry Regulatory Authority (FINRA) has fined and suspended Arni J. Diamond for improperly selling limited partnership units in GPB Automotive Portfolio LP and GPB Waste Management LP.
General Electric has reached a $61 million settlement in a protracted lawsuit concerning its 401(k) plan, marking one of the largest settlements in ERISA litigation history.
I want to thank you for your excellent professional representation. It was greatly appreciated.
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If you find yourself in trouble with the regulators, call Eccleston Law, you won't regret it.
I just received this letter from the CFP Board. Thank you, Thank you, THANK YOU!
I learned two important things working with Eccleston Law. First, I made a friend and ally with Jim and Steph for life. Secondly, and this is a crucial life lesson - if you need counsel, then seek out the very best. Jim was referred to me by a most trusted source. I've never had to hire an attorney for anything. Now, I know the value of hiring an important partner. Meticulous, thorough and detailed in preparation is the best way to describe Jim. Brilliant too, I might add. Bottom line, I would highly highly recommend Jim and Stephany for your legal needs. One of the best life decisions I've ever made.
Thank you so very much for your guidance, patience, and expertise.
Hiring Eccleston Law has been one of the best career decisions I have made and this "investment" to maintain my sterling regulatory record has been returned many times over. If you are in a situation where you've been unfairly accused, don't hesitate to talk with Eccleston Law. They are the best.
We just wanted to say thanks for your work in helping us get back some of the money we lost. We are not by any means rich, but we have saved some money and we have done so through a tight-fisted approach to most everything we do. So losing a significant chunk of money hurt…especially at a time when everyone else was growing their accounts. We really appreciate the work you did.
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
You are the best attorneys in the country.
The work that you and your team have performed on my behalf is exemplary.
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.
You were most helpful with my FINRA deposition. You are a good lawyer and a good person.
This was the best of all possible outcomes and I cannot thank you and the team enough.
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.
It was really fun seeing you fight for us. You have an amazing way of thinking out of the box.
I am so blessed to have you and your dynamic team defending me. Your ethics, forward thinking and strategies are amazing. You guys are the best group of attorneys in the country that I could hire to handle this complicated case.
Thank you for your professional assistance with this matter. You are very good at what you do.
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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.
I am so glad I found you! Wow! I appreciate your help, concern and guidance.
I cannot thank you enough for your efforts. You have proven to be a valuable resource.
That is just fantastic! Thank you very much!
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.
I want to extend a tremendous thank you for your dedication, professionalism, hard work and patient demeanor through this challenging time. It was enjoyable interacting with everyone on your team, this certainly helped while dealing with the situation and working towards resolution.
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Fantastic news!!!! Your professionalism, support and expertise were greatly appreciated. You made a difficult situation much more bearable.
If you are being bothered by the Regulators, call Eccleston Law, you won't regret it.
Artificial Intelligence (AI) continues to dominate headlines, promising sweeping efficiencies in nearly every industry. Financial Planning reports that financial advisors remain divided on its role and value.
The Easterly ROCMuni High Income Municipal Bond Fund (tickers RMHIX, RMHVX, RMJAX) suffered a significant collapse in mid-2025, wiping out hundreds of millions in value and leaving many investors with steep losses.
FINRA has suspended a Centaurus Financial broker, William Burks, for four months after finding he placed as much as 91 percent of a client’s net worth into illiquid alternative investments.