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Eccleston Law Blog

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Page 1 of 161

Advisor Barred for Failing To Comply with FINRA Enforcement Requests

April 9th, 2021 at 10:29 AM
FINRA Enforcement has barred Roderick Day pursuant to Rule 8210 after he failed to comply with document and information requests in connection with an investigation of his alleged outside business activities.
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Interactive Brokers and Schwab Plan to Fight $4.6 Million Arbitration Award

April 8th, 2021 at 2:30 PM
Interactive Brokers and Charles Schwab are committed to fighting a FINRA decision that ordered the companies to pay $4.6 million over high-frequency trading gone wrong.
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Insurance Litigation Yields Diverse Results As COVID-19 Pandemic Stretches into the Second Year

April 7th, 2021 at 12:25 PM
As the COVID-19 pandemic stretches into the second year, many businesses continue to struggle with lost revenue from past or current shutdown orders and reduced-capacity limitations.
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SEC Charges Advisor with Defrauding Clients

April 6th, 2021 at 12:22 PM
The Securities and Exchange Commission (SEC)  announced charges against Douglas E. Elstun.
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Financial Advisors Recommend Steering Clear of SPACs

April 5th, 2021 at 12:20 PM
While special purpose acquisition companies (SPACs) have become popular among investors,  most financial advisor refuse to handle them. 
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Merrill Lynch Seeks TRO to Stop Transitioning Tennessee Advisor Team

April 2nd, 2021 at 9:39 AM
Merrill Lynch has requested that a judge block a team of Wells Fargo Advisors from contacting their former customers, purportedly in violation of their employment and bank referral agreements.
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Former Morgan Stanley Advisor Sentenced to 5 Years for Fraud

April 1st, 2021 at 9:34 AM
Michael Barry Carter is going to prison after stealing at least $6.15 million from clients to fund his lifestyle.
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SEC Releases Guidance on Compliance with The Investment Adviser Marketing Rule

March 31st, 2021 at 10:02 AM
The Securities and Exchange Commission (SEC) released guidance concerning industry advisor's compliance with the new Investment Adviser Marketing rule.
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A DIY Settlement Attempt with Client Results in Former Edward Jones Advisor's Suspension

March 30th, 2021 at 11:14 AM
The Financial Industry Regulatory Authority (FINRA) has fined, and suspended John O'Bannon after Bannon attempted to settle with a client without Edward Jones' knowledge.
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Edward Jones Agrees to Settle Racial Discrimination Suit for $34 Million

March 29th, 2021 at 9:39 AM
Edward Jones has agreed to pay $34 million to settle a racial discrimination class action suit filed in 2018 on behalf of both current and former Black financial advisors.
Read More
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Page 1 of 161

Latest Articles
Advisor Barred for Failing To Comply with FINRA Enforcement Requests
April 9th, 2021 at 10:29 AM
Interactive Brokers and Schwab Plan to Fight $4.6 Million Arbitration Award
April 8th, 2021 at 2:30 PM
Read More »
Latest News
Affidavit of Merit Received in Eccleston Law’s $25 Million Legal Malpractice Action
April 1st, 2021 at 9:36 AM
Jim Eccleston Awarded Prestigious Recognition
February 26th, 2021 at 9:13 AM
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