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TESTIMONIALS

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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.

Greg P.

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Elder financial exploitation has reached crisis levels, according to InvestmentNews.

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FINRA Arbitration Panel Awards $509,000 in Suit Over Conservation Easement Investments

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Drive Planning Founder Sentenced to 20 Years for $380 Million Ponzi Scheme

Todd Burkhalter, founder and CEO of Georgia-based financial advisory group Drive Planning LLC, received a 20-year federal prison sentence for orchestrating a years-long Ponzi scheme that defrauded more than 2,000 investors of approximately $380 million.