Eccleston Law Blog

The Lower Barriers and Higher Risks of Private Market Investing

May 19th, 2025 at 3:41 PM
Investing in private companies is becoming more accessible—but whether that is a good thing remains up for debate.
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Founder of AML Bitcoin Convicted in $5 Million Cryptocurrency Fraud Scheme

May 16th, 2025 at 1:36 PM
A California federal jury has convicted Rowland Marcus Andrade, the founder of AML Bitcoin, on charges of wire fraud and money laundering.
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FINRA Suspends Former Raymond James Broker Over Unauthorized Trades in Elderly Client's Account

May 15th, 2025 at 2:05 PM
FINRA has suspended a former Raymond James advisor for three months and ordered him to pay over $23,000 in fines and disgorgement for executing unauthorized trades in an elderly client’s account.
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SEC Charges Crypto Promoter in $198 Million Fraud Scheme

May 14th, 2025 at 11:46 AM
The Securities and Exchange Commission (“SEC”) has charged Ramil Palafox for orchestrating a massive securities fraud scheme through his now-defunct company, PGI Global (Praetorian Group International Corporation).
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Merrill's Investment Solutions Chief Outlines Growing Role for Alternatives in Client Portfolios

May 13th, 2025 at 2:02 PM
At Merrill and Bank of America Private Bank, alternative investments have become a core focus of portfolio construction, according to Financial Planning.
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FINRA Clarifies Proposed Changes to Outside Activities Rule

May 12th, 2025 at 2:15 PM
FINRA released a statement this week addressing misconceptions surrounding its proposed updates to the rules governing outside business activities by associated persons of broker-dealers.
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FINRA Suspends Former Wells Fargo Advisor Over Unauthorized Transfer in Elderly Client's Account

May 9th, 2025 at 1:36 PM
FINRA has fined and suspended former Wells Fargo financial advisor Jarrett Thomas after he executed a $50,000 transaction for an elderly client despite being informed that she was no longer capable of managing her finances.
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All 50 States Now Aligned on Annuity Sales Standards

May 8th, 2025 at 1:57 PM
The annuity industry officially has secured uniformity in sales regulations across all 50 states.
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Jury Finds Investment Advisor Liable for Failing to Disclose Annuity Commissions

May 7th, 2025 at 3:31 PM
A federal jury in Massachusetts has found investment adviser Jeffrey Cutter and his firm, Cutter Financial Group, liable for violating federal securities law by failing to disclose significant upfront commissions and conflicts of interest related to an annuity replacement scheme.
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SEC Charges Three Individuals in $284 Million Arizona Sports Complex Bond Fraud by Legacy Cares

May 6th, 2025 at 11:42 AM
The Securities and Exchange Commission has filed a civil enforcement action against Randall “Randy” Miller, Chad Miller, and Jeffrey De Laveaga for allegedly defrauding investors in two municipal bond offerings that raised $284 million.
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LATEST NEWS AND ARTICLES

May 19, 2025
The Lower Barriers and Higher Risks of Private Market Investing

Investing in private companies is becoming more accessible—but whether that is a good thing remains up for debate.

May 16, 2025
Founder of AML Bitcoin Convicted in $5 Million Cryptocurrency Fraud Scheme

A California federal jury has convicted Rowland Marcus Andrade, the founder of AML Bitcoin, on charges of wire fraud and money laundering.

May 15, 2025
FINRA Suspends Former Raymond James Broker Over Unauthorized Trades in Elderly Client's Account

FINRA has suspended a former Raymond James advisor for three months and ordered him to pay over $23,000 in fines and disgorgement for executing unauthorized trades in an elderly client’s account.