Eccleston Law Blog

CFP Board Establishes New Appeals Commission

January 21st, 2022 at 1:39 PM
The Certified Financial Planner (CFP) Board of Standards has established a new Appeals Commission. As the name suggests, the Appeals Commission possesses the sole authority to adjudicate appeal hearings.
Read More

Edward Jones Fails To Convince Supreme Court To Review Federal Preemption of Account Fee Suit

January 20th, 2022 at 1:12 PM
Edward Jones & Co. failed to convince the U.S. Supreme Court to analyze how a federal securities law impacts a client dispute pertaining to fee-based accounts.
Read More

SEC Charges Texas Entities Over Oil and Gas Fraud

January 19th, 2022 at 12:50 PM
The Securities and Exchange Commission (SEC) has charged The Heartland Group Ventures, Heartland Production and Recovery, six other Heartland-affiliated entities, four Heartland-affiliated individuals as well as several oil and gas operators.
Read More

New York Advisor Receives 17-Year Prison Sentence Over Ponzi Scheme

January 18th, 2022 at 1:43 PM
A New York-based advisor, Perry Santillo, received a 17-year prison sentence for his role in operating a Ponzi scheme that generated at least $115 million from more than 1,000 investors.
Read More

J.P. Morgan Seeks TRO Over Departing Advisor

January 17th, 2022 at 1:09 PM
J.P. Morgan Chase’s brokerage business has requested that a Louisville, Kentucky, federal court issue a temporary restraining order (TRO) barring one of its former advisors from soliciting its clients.
Read More

Ohio Advisor Pleads Guilty In $9.3 Million Ponzi Scheme

January 14th, 2022 at 12:37 PM
A former Northeast Ohio-based advisor, Tara Brunst, has pleaded guilty to her role in a $9.3 million Ponzi scheme.
Read More

Kamila Elliot Prepared To Make History As First Black CFP Board Chair

January 13th, 2022 at 12:38 PM
The first Black woman to head the CFP Board, Kamila Elliot, officially assumed her position from former CFP Board Chair Douglas King on January 1.
Read More

Wisconsin Advisor Barred After Allegations of Material Misrepresentations

January 12th, 2022 at 12:13 PM
The Securities and Exchange Commission (SEC) has barred an Appleton, Wisconsin-based advisor, Michael Shillin. 
Read More

Experts Anticipate Reg BI Enforcement Actions, DOL Rollover Crackdown In 2022

January 11th, 2022 at 12:47 PM
The Securities and Exchange Commission (SEC) may actively levy enforcement actions pertaining to Regulation Best Interest (Reg BI) while the Department of Labor (DOL) will emphasize a fiduciary rule that regulates rollover and insurance product recommendations in 2022, according to industry experts.
Read More

Number Of Nasdaq Stocks Down 50% Or More Approaches Record

January 10th, 2022 at 12:46 PM
An increasing number of Nasdaq stocks have plummeted by around 50% in an echo of the dot-com crash.
Read More

TESTIMONIALS

Previous
Next

Thank you for your professional assistance with this matter. You are very good at what you do.

John T.

LATEST NEWS AND ARTICLES

January 21, 2022
CFP Board Establishes New Appeals Commission

The Certified Financial Planner (CFP) Board of Standards has established a new Appeals Commission. As the name suggests, the Appeals Commission possesses the sole authority to adjudicate appeal hearings.

January 20, 2022
Edward Jones Fails To Convince Supreme Court To Review Federal Preemption of Account Fee Suit

Edward Jones & Co. failed to convince the U.S. Supreme Court to analyze how a federal securities law impacts a client dispute pertaining to fee-based accounts.

January 19, 2022
SEC Charges Texas Entities Over Oil and Gas Fraud

The Securities and Exchange Commission (SEC) has charged The Heartland Group Ventures, Heartland Production and Recovery, six other Heartland-affiliated entities, four Heartland-affiliated individuals as well as several oil and gas operators.