Tagged with "Boca Raton"

Former Boca Raton Securities Attorney Receives 28 Months for Role in Pump-And-Dump Scheme

Posted on May 13th, 2019 at 5:02 PM
Former Boca Raton Securities Attorney Receives 28 Months for Role in Pump-And-Dump Scheme

A federal judge has sentenced former Boca Raton, Florida, securities attorney Mark Fisher to more than two years in prison for his role in a $1 million pump-and-dump scheme involving shares of a beauty supply company, Valentine Beauty Inc. Fisher also was ordered to forfeit $8.4 million in profits he received from the pump-and-dump scheme.

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Comparative Arbitration Statistics through January

Posted on March 13th, 2016 at 9:13 PM
Comparative Arbitration Statistics through January

FINRA has released statistics that show the relative activity in the regulatory authority over the past three years from the start of the year through the end of January. The data show interesting trends in the functionality of FINRA. 

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Announcing Our New Boca Raton Location

Posted on February 14th, 2016 at 1:21 PM
Announcing Our New Boca Raton Location

Eccleston Law, LLC is the best law firm nationwide to service your needs. We represent financial advisors in all types of securities, employment, regulatory and licensing matters, as well as investors referred to us by advisors when they have been egregiously harmed. 

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If you find yourself in trouble with the regulators, call Eccleston Law, you won't regret it.

Rick R.

LATEST NEWS AND ARTICLES

April 18, 2024
SEC Fines Target Off-Channel Communications

The Securities and Exchange Commission (SEC) is ramping up its enforcement efforts targeting off-channel communications, particularly text messages, among investment advisory firms.

April 17, 2024
B. Riley Financial Again Delays Filing Audited Results

B. Riley Financial Inc. has encountered a setback in filing its audited results within an extended timeframe, adding to existing pressure amid concerns raised by short sellers regarding its association with a former business partner.

April 16, 2024
Former Wells Fargo Advisor Accepts Industry Bar Amidst Misuse of Client Funds Allegations

A former advisor with Wells Fargo Advisors Financial Network (FiNet) in Chicago, Jayson R. Pocius, has agreed to accept an industry bar rather than cooperate with a
Financial Industry Regulatory Authority (FINRA) investigation into allegations of misusing client funds.