Eccleston Law Receives Favorable Results in Its Defense of Former Wells Fargo Investment Bankers Related to Dinner Expense Reimbursements

Posted on January 3rd, 2019 at 4:52 PM
Eccleston Law Receives Favorable Results in Its Defense of Former Wells Fargo Investment Bankers Related to Dinner Expense Reimbursements

From the Desk of Jim Eccleston at Eccleston Law LLC:

FINRA Enforcement continues to issue Rule 8210 inquiries to former investment bankers at Wells Fargo who had allegedly violated the firm’s dinner expense reimbursement policy.

Fortunately, Eccleston Law has defended those investment bankers and has received favorable results for our clients. Those bankers with pending FINRA investigations should contact Eccleston Law.

Contrary to approaches taken by other lawyers, Eccleston Law has and will continue to argue that the bankers have done nothing wrong and that no sanctions are justified. The stakes are high, given that such sanctions would be reportable on BrokerCheck and on the CRD.  In our view, the CRD disclosures filed by Wells Fargo are inaccurate and incomplete, and in some instances are defamatory.

Eccleston Law now is investigating, and when appropriate filing, arbitration actions for damages and for defamation against Wells Fargo.

The attorneys of Eccleston Law LLC represent investors and advisors nationwide in securities and employment matters. The securities lawyers at Eccleston Law also practice a variety of other areas of practice for financial investors and advisors including Securities FraudCompliance ProtectionBreach of Fiduciary DutyFINRA Matters, and much more. Our attorneys draw on a combined experience of nearly 65 years in delivering the highest quality legal services. If you are in need of legal services, contact us to schedule a one-on-one consultation today.

Related Attorneys: James J. Eccleston

Tags: james eccleston, eccleston law, eccleston law llc, eccleston, finra, wells fargo, dinner expenses, crd

Return to Archive

TESTIMONIALS

Previous
Next

If the regulators are after you, and are trying to make a case against you, and you are going to contest their allegations against you, make sure you have the best securities industry defense lawyers, Eccleston Law Firm. My case was spun into a combination of penalties including fines, cash settlements, CE courses and suspension. They were the best I have seen in action. When all was said and done, they had done their magic, my situation was negotiated and settled with a simple "letter of caution" and a case closed without action. It is the most important legal business decision you will ever make, make it Eccleston Law.

Rick R.

LATEST NEWS AND ARTICLES

October 20, 2021
5 First-of-Their-Kind SEC Enforcement Actions Announced

Securities and Exchange Commission (SEC) Enforcement Director Gurbir Grewal recently discussed notable first-of-their-kind enforcement actions that his division has pursued.

October 19, 2021
FINRA Targets SPACs in Most Recent Exam Sweep

The Financial Industry Regulatory Authority (FINRA) has begun an examination sweep of advisors’ involvement with special purpose acquisition companies (SPACs).

October 18, 2021
SEC’s Statement on Complex Exchange-Traded Products

The Securities and Exchange Commission (SEC) recently voted to approve a pair of rule changes proposed by Cboe BZX Exchange, Inc. to list and trade shares of new exchange traded-products: the 2x Long VIX Futures ETC and the -1x Short VIX Futures ETF.