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

Eccleston Law Blog

Financial Services Institute Backs New Jersey Bill Protecting Independent Advisor Model

July 2nd, 2026 at 1:07 PM
The Financial Services Institute (FSI) has urged New Jersey lawmakers to advance legislation that would help preserve the independent contractor status of financial advisors operating in the state.
Read More

Private Credit Funds Face Scrutiny Over Software Exposure Amid Investor Concerns

July 1st, 2026 at 11:38 AM
Private credit fund managers are facing increased scrutiny over their exposure to software companies as investors continue to pull money from the sector during ongoing market volatility.
Read More

FINRA Signals Stronger Enforcement Focus on Reg BI, Excessive Trading, and Best Execution

June 30th, 2026 at 12:23 PM
The Financial Industry Regulatory Authority (FINRA) plans to intensify its enforcement efforts against Regulation Best Interest (Reg BI) violations, excessive trading, options trading, churning, and best execution failures after bringing a record number of retail investor protection cases in 2025, according to ThinkAdvisor.
Read More

Former Arvest Wealth Representative Sanctioned by FINRA Over Improper Use of Mistaken Commission Payment

June 29th, 2026 at 10:55 AM
The Financial Industry Regulatory Authority (FINRA) has suspended former Arvest Wealth representative Brandon Still for 18 months and fined him $5,000 after determining that he improperly used firm funds that were mistakenly deposited into his account.
Read More

FINRA Seeks to Make Remote Inspection Program Permanent

June 26th, 2026 at 2:10 PM
The Financial Industry Regulatory Authority (FINRA) is seeking approval from the Securities and Exchange Commission (SEC) to make its pandemic-era remote inspections program permanent before the current pilot is scheduled to expire in June 2027, according to AdvisorHub and FINRA's summary of its recent Board of Governors meeting.
Read More

SEC Alleges Illinois Investment Adviser Misappropriated Investor Funds and Concealed Losses

June 25th, 2026 at 11:10 AM
According to a litigation release published on SEC.gov, the Securities and Exchange Commission (SEC) has charged John Sterling Myers and his firms, Sterling Capital, LLC and Sterling Capital Management, LLC, with orchestrating a multi-year fraud involving investor funds held in a pooled investment vehicle.
Read More

FINRA Suspends Former Broker Over Undisclosed Business Activities, Annuity Recommendation, and Customer Data Violations

June 24th, 2026 at 12:55 PM
The Financial Industry Regulatory Authority (FINRA) has suspended former registered representative Clayton K.
Read More

NASAA Advances Investment Adviser Advertising Reforms and Franchise Broker Registration Framework

June 23rd, 2026 at 10:55 AM
The North American Securities Administrators Association (NASAA) has approved significant regulatory initiatives aimed at modernizing oversight of investment advisers and strengthening protections for individuals considering franchise investments.
Read More

Illinois Regulators Accuse "Mr. Finance" of Operating Unlicensed Investment Scheme

June 22nd, 2026 at 1:40 PM
Illinois securities regulators have accused a Chicago-area businessman known as "Mr.
Read More

FINRA Suspends Former Stifel Rep for Undisclosed Customer Settlements

June 19th, 2026 at 2:25 PM
The Financial Industry Regulatory Authority (FINRA) has suspended a former Stifel representative for three months and imposed a $10,000 fine after finding that she settled customer complaints without notifying her firm and conducted securities-related communications through an unapproved personal device.
Read More

TESTIMONIALS

Previous
Next
Quotes Bigger

You are the best attorneys in the country.

CC

LATEST NEWS AND ARTICLES

1783012078 Law
July 2, 2026
Financial Services Institute Backs New Jersey Bill Protecting Independent Advisor Model

The Financial Services Institute (FSI) has urged New Jersey lawmakers to advance legislation that would help preserve the independent contractor status of financial advisors operating in the state.

1782920284 Law
July 1, 2026
Private Credit Funds Face Scrutiny Over Software Exposure Amid Investor Concerns

Private credit fund managers are facing increased scrutiny over their exposure to software companies as investors continue to pull money from the sector during ongoing market volatility.

1782836587 Law
June 30, 2026
FINRA Signals Stronger Enforcement Focus on Reg BI, Excessive Trading, and Best Execution

The Financial Industry Regulatory Authority (FINRA) plans to intensify its enforcement efforts against Regulation Best Interest (Reg BI) violations, excessive trading, options trading, churning, and best execution failures after bringing a record number of retail investor protection cases in 2025, according to ThinkAdvisor.