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Eccleston Law Blog

FINRA Enforcement Actions for Reg BI Violations Surge Past 2024 Levels

January 26th, 2026 at 3:28 PM
The Financial Industry Regulatory Authority (FINRA) already has brought more Regulation Best Interest cases in 2025 than it did during all of 2024, according to statements from the regulator’s top enforcement official and a review of FINRA’s disciplinary records by AdvisorHub.
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JPMorgan Explores Crypto Trading for Institutional Clients as Wall Street Deepens Digital Asset Push

January 23rd, 2026 at 1:30 PM
JPMorgan is weighing another significant expansion into cryptocurrency, as the firm considers allowing institutional clients to trade digital assets, according to Bloomberg Law.
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EC Zeroes In on Persistent Marketing Rule Failures With New Staff FAQs

January 22nd, 2026 at 3:51 PM
The Securities and Exchange Commission (SEC) has sharpened its scrutiny of investment adviser marketing practices, signaling continued frustration with recurring compliance failures despite years of guidance and enforcement. As reported by Financial Advisor News, new staff FAQs published in January follow a December risk alert that detailed persistent deficiencies involving testimonials, endorsements, and third-party rankings.
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New Investor Losses as Yieldstreet Rebrands to Willow Wealth

January 21st, 2026 at 1:22 PM
Yieldstreet, now operating under the name Willow Wealth, continues to report significant losses to investor clients despite a high-profile rebrand.
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SEC Charges Three Advisors in Alleged Sale of Unregistered Oil and Gas Securities

January 20th, 2026 at 3:33 PM
The Securities and Exchange Commission (SEC) has charged three advisors and agents with selling millions of dollars in unregistered oil and gas securities to retail investors while failing to disclose conflicts of interest.
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FINRA Study Warns of Declining Investor Participation and Rising Fraud Risks Among Younger Investors

January 19th, 2026 at 1:33 PM
A new study from FINRA’s Investor Education Foundation highlights troubling shifts in retail investing, including shrinking participation, heavier reliance on social media for advice, and growing vulnerability to fraud.
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SEC Signals Sweeping IPO Rule Changes to Ease Path for Smaller Companies

January 16th, 2026 at 11:26 AM
The Securities and Exchange Commission (SEC) plans to overhaul its public offering framework to make it easier for smaller companies to access the public markets, according to remarks SEC Chairman Paul Atkins delivered at the New York Stock Exchange, as reported by Bloomberg Law.
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FINRA Flags Risks of Early Withdrawals and Exchanges in Registered Index-Linked Annuities

January 15th, 2026 at 4:08 PM
The Financial Industry Regulatory Authority (FINRA) has issued a renewed warning to the industry about the risks consumers face when they exit registered index-linked annuities (RILAs) before the end of the contract term.
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FINRA Fines and Suspends Wells Fargo Advisor Over Fictitious Expense Claims

January 14th, 2026 at 11:43 AM
The Financial Industry Regulatory Authority (FINRA) fined and suspended a Wells Fargo Advisors representative in Waco, Texas, after finding that he submitted fictitious business expense claims, according to a FINRA Acceptance, Waiver and Consent (AWC) letter.
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Florida Man Indicted in $36 Million Investment Fraud Scheme

January 12th, 2026 at 1:38 PM
According to news sources, federal prosecutors allege that a Florida man orchestrated a multimillion-dollar Ponzi scheme that funded a luxury lifestyle built on stolen investor money, according to the U.S. Department of Justice.
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TESTIMONIALS

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Thank You from the bottom of our hearts for all you have done for us. When we realized this was a very bad investment - we did not know where to turn for help. Then we received your name. When we called you - you were so kind to us and then agreed to help us. For this we are so very grateful. The world would be a much nicer place if there were more people like the two of you in it. We will always remember all the help and kindness you have shown us. Thank you so very very much for everything.

Wayne and Judy S.

LATEST NEWS AND ARTICLES

1784905692 Law
July 24, 2026
Independent Review Recommends Sweeping Changes to FINRA's Enforcement Program

An independent review commissioned by the Financial Industry Regulatory Authority (FINRA) recommends significant changes to the regulator's enforcement program, including adopting a statute of limitations, expanding due process protections, and providing greater credit to firms that cooperate during investigations, according to AdvisorHub.

1784829196 Law
July 23, 2026
Cresset Sues Former Advisor Over Alleged Client Solicitation and Competing RIA Launch

Cresset Capital Management has filed a lawsuit in Illinois state court against a former advisor, alleging that he began building a competing registered investment advisory firm and soliciting clients while still employed by the Chicago-based wealth management firm.

1784733625 Law
July 22, 2026
Barred Oregon Financial Advisor Pleads Guilty to $1.6 Million Investment Fraud

A former Oregon financial advisor has pleaded guilty to fraud after admitting to a long-running scheme that caused investors to lose more than $1.6 million.