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Eccleston Law Blog

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Page 1 of 156

FINRA Bars Former Merrill Lynch Advisor

January 26th, 2021 at 3:30 PM
Former Merrill Lynch advisor Charles Kenahan has agreed to a bar from association with any FINRA member firm in any capacity.
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Wells Fargo Shuts Down International Wealth Management Business

January 25th, 2021 at 4:02 PM
Wells Fargo no longer allows customers who do not meet residency requirements to open a brokerage, Wells Fargo Private Bank, or Abbot Downing account.
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Morgan Stanley Terminates Another Advisor for Alleged Misconduct Related to Inherited Accounts

January 22nd, 2021 at 8:47 AM
In the fall of 2020, Morgan Stanley terminated 10 advisors following an internal review of the firm’s Former Advisor Program (“FAP”).
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Advisor Team that Left Morgan Stanley Files Counterclaim Seeking to Prohibit Firm from Soliciting Clients

January 21st, 2021 at 3:33 PM
Last week in the Eccleston Law blog we discussed a lawsuit filed by Morgan Stanley against a team of Advisors led by Wade Martin.
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Insurance Agent Continues to Sell Despite Lengthy Disciplinary History

January 20th, 2021 at 4:23 PM
Ronald D. Morley has a long history of securities misconduct. He was barred from selling securities in 2006 by Maryland state regulators.
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SEC Files Charges Against Jacob Glick

January 19th, 2021 at 4:08 PM
The U.S. Securities and Exchange Commission (“SEC”) announced that it had filed charges against former Advanced Practice Advisor, LLC (“APA”) advisor Jacob C. Glick of Scottsdale, Arizona
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Revenue-Sharing Found to Lead to Higher Expenses

January 18th, 2021 at 4:11 PM
401(k) plan record keepers can be compensated in a couple different ways.
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SEC Files Suit Against Advanced Practice Advisors and CEO Paul Spitzer

January 15th, 2021 at 10:35 AM
The U.S. Securities and Exchange Commission (“SEC”) has filed a lawsuit against Advanced Practice Advisors, LLC (“APA”), a former SEC-registered investment adviser, and the firm’s CEO, Paul C. Spitzer.
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Morgan Stanley Files Lawsuit Against $6 Million Team

January 14th, 2021 at 3:57 PM
A $6 million advisor team led by Wade Martin left Morgan Stanley to join RBC Wealth Management-U.S. in October 2020.
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FINRA Proposes Rule to Regulate “Restricted” Firms

January 13th, 2021 at 4:05 PM
One issue facing the Financial Industry Regulatory Authority (“FINRA”) is how to regulate “restricted firms,” firms that have high levels of risk-related disclosures, employ brokers with a history of misconduct, or fail to adhere to its obligations regarding supervision and compliance.
Read More
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Page 1 of 156

Latest Articles
FINRA Bars Former Merrill Lynch Advisor
January 26th, 2021 at 3:30 PM
Wells Fargo Shuts Down International Wealth Management Business
January 25th, 2021 at 4:02 PM
Read More »
Latest News
CFP Board is the New Sheriff and it Is Not Your Friend
October 24th, 2020 at 10:04 AM
Defending Against a Customer Complaint First Requires Selecting Correct Legal Counsel
October 15th, 2020 at 10:02 AM
Read More »
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