Tagged with "Wall Street Journal"

States Aim to Tighten Checks on Barred Brokers

Posted on June 24th, 2015 at 5:16 PM
States Aim to Tighten Checks on Barred Brokers

After the Wall Street Journal reported states had little ability to keep tabs on barred brokers, the states have decided to make improvements in their capabilities.

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Understanding the Risks of Oil Drilling Investments

Posted on December 2nd, 2014 at 5:16 PM
Understanding the Risks of Oil Drilling Investments

Understanding the Risks of Oil Drilling Investments – Especially in the Current Pricing Environment. Current pricing for oil has dipped below $70 per barrel, off from June highs of over $100 per barrel.  What does that mean for domestic oil producers, investors and their financial advisers?  

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I learned two important things working with Eccleston Law. First, I made a friend and ally with Jim and Steph for life. Secondly, and this is a crucial life lesson - if you need counsel, then seek out the very best. Jim was referred to me by a most trusted source. I've never had to hire an attorney for anything. Now, I know the value of hiring an important partner. Meticulous, thorough and detailed in preparation is the best way to describe Jim. Brilliant too, I might add. Bottom line, I would highly highly recommend Jim and Stephany for your legal needs. One of the best life decisions I've ever made.

Howard S.

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.