Tr?id=566623520170033&ev=PageView&noscript=1

Eccleston Law Blog

SEC Warns Investors About Pre-IPO Investment Scams

September 23rd, 2026 at 1:00 PM
The SEC's Office of Investor Education and Advocacy (OIEA) has issued an Investor Alert warning investors about scams that falsely offer opportunities to purchase "pre-IPO" shares of companies.
Read More

Wells Fargo Advisors Continue Manual Trading Amid Vendor Disruption

September 22nd, 2026 at 11:48 AM
Wells Fargo Advisors brokers continued placing trading orders by phone and email as a disruption involving an outside vendor persisted for a second week.
Read More

Blackstone Limits Withdrawals From Blackstone Private Credit Fund

September 21st, 2026 at 12:34 PM
Blackstone's flagship private credit fund faces continued pressure from investors seeking liquidity.
Read More

SEC Sanctions Investment Adviser and Executive for Disproportionate Trade Allocations

September 18th, 2026 at 1:33 PM
The Securities and Exchange Commission (SEC) has determined that the conduct of registered investment advisory firm Barrington Asset Management, and its executive vice-president and chief compliance officer, Gregory Paris, disadvantaged clients and breached their fiduciary duties owed to clients.
Read More

SEC Charges 38 Entities Over Allegedly Fraudulent Adviser Filings

September 17th, 2026 at 1:19 PM
The Securities and Exchange Commission (SEC) charged 38 entities with allegedly making material misrepresentations in Forms ADV filed with the SEC between 2025 and 2026.
Read More

Edelman Financial Engines Secures TRO Against Advisor Who Joined RFG Advisory

September 16th, 2026 at 4:08 PM
Edelman Financial Engines recently secured a temporary restraining order (TRO) against Chad A.
Read More

FINRA Suspends Former Northwestern Mutual Broker Over Customer Loans

September 15th, 2026 at 12:38 PM
The Financial industry Regulatory Authority (FINRA) has suspended and fined a former Northwestern Mutual broker after he solicited two customers for loans to purchase another representative's book of business but instead used most of the money to pay personal expenses and other debt, according to an Acceptance, Waiver, and Consent (AWC) letter.
Read More

SEC Considers Expanding Retail Access to Private Markets

September 14th, 2026 at 12:38 PM
The Securities and Exchange Commission (SEC) is considering a proposal that could expand retail investors' access to private markets and allow investment advisers to charge performance fees to a broader group of clients.
Read More

SEC Considers Investor Test to Expand Accredited Investor Eligibility

September 11th, 2026 at 3:38 PM
The Securities and Exchange (SEC) Chairman Paul S.
Read More

Advisors Emphasize Early Planning as Key Defense Against Elder Financial Exploitation

September 10th, 2026 at 12:56 PM
Elder financial exploitation has reached crisis levels, according to InvestmentNews.
Read More

TESTIMONIALS

Previous
Next
Quotes Bigger

You are the best attorneys in the country.

CC

LATEST NEWS AND ARTICLES

1790182800 Law
September 23, 2026
SEC Warns Investors About Pre-IPO Investment Scams

The SEC's Office of Investor Education and Advocacy (OIEA) has issued an Investor Alert warning investors about scams that falsely offer opportunities to purchase "pre-IPO" shares of companies.

1790092133 Law
September 22, 2026
Wells Fargo Advisors Continue Manual Trading Amid Vendor Disruption

Wells Fargo Advisors brokers continued placing trading orders by phone and email as a disruption involving an outside vendor persisted for a second week.

1790008446 Law
September 21, 2026
Blackstone Limits Withdrawals From Blackstone Private Credit Fund

Blackstone's flagship private credit fund faces continued pressure from investors seeking liquidity.