Eccleston Law Blog

Judge Allows Widow's $8 Million FINRA Arbitration Claim Against JPMorgan to Proceed

October 6th, 2025 at 2:14 PM
JPMorgan Chase & Co. failed in its effort to block an 85-year-old widow from pursuing claims in FINRA arbitration over allegations that the bank failed to prevent her son from siphoning more than $8 million from her accounts.
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SEC Charges Pennsylvania Man in $400 Million Ponzi Scheme

October 3rd, 2025 at 2:10 PM
The Securities and Exchange Commission (SEC) has charged Daryl F. Heller of Pennsylvania, along with his companies Prestige Investment Group, LLC, and Paramount Management Group, LLC, for operating a Ponzi scheme that caused investor losses of roughly $400 million.
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Mercer Advisors Expands Westward with Two RIA Acquisitions

October 2nd, 2025 at 2:48 PM
Mercer Advisors has strengthened its presence in the West by acquiring two registered investment advisory firms with offices in Oregon, Idaho, and Southern California.
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New Jersey Investor Sues Advisor and Insurers Over Premium Financing Losses

October 1st, 2025 at 1:54 PM
A New Jersey resident has filed suit against a financial advisor, his firm, two insurance companies, and other parties over losses tied to a premium financing arrangement for life insurance.  
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SEC Fines Vanguard $19.5 Million for Disclosure Failures in Advisor Compensation Program

September 30th, 2025 at 3:06 PM
The Securities and Exchange Commission (SEC) has censured and fined Vanguard Advisers $19.5 million, alleging the firm failed to properly disclose financial incentives tied to its Personal Advisor Services (PAS) program.
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SEC Unveils Ambitious Regulatory Agenda

September 29th, 2025 at 3:03 PM
The Securities and Exchange Commission (SEC) has released its Spring 2025 Unified Agenda of Regulatory and Deregulatory Actions, signaling a sweeping shift in rulemaking priorities.
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SEC and DOJ Target $770 Million Prestige Funds Ponzi Scheme

September 26th, 2025 at 11:31 AM
Federal regulators say thousands of investors may have lost money in what they allege was a massive Ponzi scheme tied to the Prestige Funds and WF Velocity Funds.
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FINRA Suspends Spartan Capital Broker for Excessive Trading Violations

September 25th, 2025 at 3:53 PM
The Financial Industry Regulatory Authority (FINRA) has suspended Joseph Kelly, a broker at Spartan Capital Securities, for nine months and ordered him to pay a $10,000 fine and $69,830 in restitution.
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How New CCOs Can Navigate Today's Compliance Challenges

September 24th, 2025 at 2:15 PM
The role of the chief compliance officer (CCO) has never carried more weight or more complexity, according to Wealth Management.
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SEC Sanctions Emerson Equity and Advisor Over GWG L Bond Sales

September 23rd, 2025 at 3:16 PM
The Securities and Exchange Commission (SEC) has announced settlements with Emerson Equity and one of its registered representatives, citing violations of Regulation Best Interest (Reg BI) tied to the sale of GWG Holdings Inc. L bonds.
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LATEST NEWS AND ARTICLES

October 6, 2025
Judge Allows Widow's $8 Million FINRA Arbitration Claim Against JPMorgan to Proceed

JPMorgan Chase & Co. failed in its effort to block an 85-year-old widow from pursuing claims in FINRA arbitration over allegations that the bank failed to prevent her son from siphoning more than $8 million from her accounts.

October 3, 2025
SEC Charges Pennsylvania Man in $400 Million Ponzi Scheme

The Securities and Exchange Commission (SEC) has charged Daryl F. Heller of Pennsylvania, along with his companies Prestige Investment Group, LLC, and Paramount Management Group, LLC, for operating a Ponzi scheme that caused investor losses of roughly $400 million.

October 2, 2025
Mercer Advisors Expands Westward with Two RIA Acquisitions

Mercer Advisors has strengthened its presence in the West by acquiring two registered investment advisory firms with offices in Oregon, Idaho, and Southern California.