Adviser Wins Care Brought by SEC
From the Desk of Jim Eccleston at Eccleston Law LLC:
A houston-based firm has won a rare victory against the SEC in a case focused on advisers, accepting payments from brokerage firms.
The SEC judge dismissed the allegations that the firm continued fraud by not sufficiently disclosing a financial relationship with Fidelity Investments. Fedelity had paid the firm to distribute third-party funds.
The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities and employment matters. Our attorneys draw on a combined experience of nearly 65 years in delivering the highest quality legal services.
Related Attorneys: James J. Eccleston
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