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Eccleston Law Blog

Texas Investment Adviser Sentenced to 11 Years for $35 Million Ponzi Scheme

September 29th, 2026 at 12:47 PM
A federal judge has sentenced Siddharth Jawahar, who operated Texas-based investment adviser Swiftarc Capital, to 11 years in prison for running a $35 million Ponzi scheme.
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Red Flags to Watch for in Pre-IPO Investment Scams

September 28th, 2026 at 1:18 PM
Investors considering pre-IPO investments should watch for common warning signs of fraud, according to the Securities and Exchange Commission (SEC).
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SEC Bars Advisor for Unauthorized Trades and Client Data Misuse

September 25th, 2026 at 1:04 PM
A California-based investment adviser has agreed to a three-year industry bar and $266,000 in monetary sanctions after the Securities and Exchange Commission (SEC) accused him of making unauthorized trades, transferring confidential client information to a newly launched registered investment adviser, and concealing his termination from a former firm.
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FINRA Proposes Expanded Fraud Protections and Trusted Contact Flexibility

September 24th, 2026 at 2:53 PM
The Financial Industry Regulatory Authority (FINRA) has sent three proposed rules to the Securities and Exchange Commission (SEC) for approval.
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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.
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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.
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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.
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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.
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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.
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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.
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