Eccleston Law Blog

The following articles were written by the Eccleston Law Firm and are featured on FinancialCounsel.com

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New Recommendations by the FINRA Dispute Resolution Task Force

Posted on Friday, February 17, 2017 at 3:37 PM
 
New Recommendations by the FINRA Dispute Resolution Task Force

This is the second in a series of posts to discuss the 51 recommendations the FINRA Dispute Resolution Task Force (Task Force) has made to the National Arbitration and Mediation Committee (NAMC). NAMC is FINRA’s standing Board advisory committee. 

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FINRA Expels Red River Securities

Posted on Thursday, February 16, 2017 at 9:21 AM
 
FINRA Expels Red River Securities

Red River Securities, a Plano, Texas-based broker-dealer, has been expelled from FINRA for fraudulent sales in five oil and gas joint ventures. 

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New Recommendations by the FINRA Dispute Resolution Task Force

Posted on Wednesday, February 15, 2017 at 9:03 AM
 
New Recommendations by the FINRA Dispute Resolution Task Force

This is the first in a series of posts to discuss the 51 recommendations the FINRA Dispute Resolution Task Force (Task Force) has made to the National Arbitration and Mediation Committee (NAMC). 

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Net 204 Brokers Left Wells Fargo in the Fourth Quarter

Posted on Monday, February 13, 2017 at 12:07 PM
 
Net 204 Brokers Left Wells Fargo in the Fourth Quarter

Across its private client, independent brokerage and in-bank brokerage channels, Wells Fargo Advisors experienced a net loss of 204 brokers during the fourth quarter of this past year. 

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SEC Bars Connecticut Investment Adviser For Concealing Referral Fee

Posted on Friday, February 10, 2017 at 12:21 PM
 
SEC Bars Connecticut Investment Adviser For Concealing Referral Fee

The SEC has barred Connecticut investment adviser John W. Rafal for allegedly concealing a referral fee.

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Former Texas Registered Rep Arrested for Internet Ponzi Scheme

Posted on Wednesday, February 8, 2017 at 9:31 AM
 
 Former Texas Registered Rep Arrested for Internet Ponzi Scheme

Former registered rep Bobby Eugene Guess was arrested following his indictment on charges of securities fraud, theft, money laundering and engaging in organized criminal activity related to the multi-million-dollar sale of investments in an internet advertising company.

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President Trump’s Memo is Unclear on Directive to Delay DOL Fiduciary Rule

Posted on Tuesday, February 7, 2017 at 9:19 AM
 
President Trump’s Memo is Unclear on Directive to Delay DOL Fiduciary Rule

President Trump has sent a memo regarding the Department of Labor’s fiduciary duty rule. 

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SEC Charges Connecticut Based Investment Advisory Firm With Stealing Investor Funds

Posted on Monday, February 6, 2017 at 9:07 AM
 
SEC Charges Connecticut Based Investment Advisory Firm With Stealing Investor Funds

The Securities and Exchange Commission has charged a Connecticut-based investment advisory firm, Sentinel Growth Management and its founder Mark J. Varacchi with stealing money from investors. 

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Four Steps to Successfully Transition a Practice

Posted on Sunday, February 5, 2017 at 8:27 AM
 
 Four Steps to Successfully Transition a Practice

Daniel Schwamb, a senior vice president of business development at Kestra Financial, has written an article detailing four steps he believes are crucial in order to successfully transition a practice from one advisory platform to another. 

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Morgan Stanley Fined By Regulators For Violating Customer Protection Rule

Posted on Thursday, February 2, 2017 at 9:15 AM
 
Morgan Stanley Fined By Regulators For Violating Customer Protection Rule

Morgan Stanley has agreed to pay $7.5 million to settle SEC charges that it used trades involving customer cash to lower the firm’s borrowing cost. 

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