Tagged with "Florida"

Former Florida Broker Sentenced to 6½ Years in Prison for $16 Million Fraud Scheme

Posted on December 14th, 2018 at 2:33 PM
Former Florida Broker Sentenced to 6½ Years in Prison for $16 Million Fraud Scheme

A federal judge in Florida has sentenced former Fort Lauderdale, Florida broker Salvatore Colonna to 6½ years in prison and ordered him to pay $13.1 million in restitution for his role in a $16 million precious metals and securities fraud scheme.

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SEC Files a Complaint Against Two Florida Individuals and Business Entities for Orchestrating a $21 Million Hotel Project Scam

Posted on August 24th, 2018 at 9:32 AM
SEC Files a Complaint Against Two Florida Individuals and Business Entities for Orchestrating a $21 Million Hotel Project Scam

The SEC has filed a lawsuit against Florida businessmen, Joseph J. Walsh Sr. and Robert V. Matthews, along with their companies, Palm House Hotel LLLP and South Atlantic Regional Center LLC, for defrauding at least 88 investors out of $44 million.

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Florida Investment Adviser Sentenced to 5 Years in Prison for Stealing $6.5 Million From Several Clients

Posted on July 2nd, 2018 at 9:30 AM
Florida Investment Adviser Sentenced to 5 Years in Prison for Stealing $6.5 Million From Several Clients

Coral Gables, Florida investment adviser, Henry Meyer has been sentenced to more than five years in federal prison for stealing $6.5 million from several clients, including family members in the Chicago area. Meyer was also ordered to pay $6.5 million in restitution to the victims.

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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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Upcoming FPA of the Suncoast Event: Salvaging a Bad Day

Posted on March 6th, 2016 at 8:28 PM
Upcoming FPA of the Suncoast Event: Salvaging a Bad Day

Protecting your reputation, licenses and marks is the topic for the upcoming FPA of the Suncoast Event called Salvaging a Bad Day that will take place at the Sarasota Yacht Club on Friday, March 11, 2016.

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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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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.

Thomas C.

LATEST NEWS AND ARTICLES

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.

April 15, 2024
Commonwealth Financial Network Faces Potential Damages Amid SEC Lawsuit

Commonwealth Financial Network is under fire, as it faces potential damages amounting to $111.5 million from a Securities and Exchange Commission (SEC) complaint filed nearly five years ago.

April 12, 2024
FINRA Penalizes Ex-Raymond James Advisor for Document Alterations

A former Raymond James financial advisor faced a $5,000 fine and a four-month suspension from the Financial Industry Regulatory Authority (FINRA) for allegedly falsifying 25 documents, as per a settlement letter released recently.