Eccleston Law Blog

Drive Planning Founder Pleads Guilty to $380 Million Ponzi Scheme

February 23rd, 2026 at 2:01 PM
Todd Burkhalter, founder and chief executive officer of Drive Planning LLC, has pleaded guilty to wire fraud after admitting he orchestrated a $380 million Ponzi scheme that defrauded more than 2,000 investors.
Read More

Edward Jones Expands Equity-Style Awards to Thousands More Advisors

February 20th, 2026 at 2:19 PM
Edward D. Jones & Co. has expanded eligibility for its “profits interest” award, extending the equity-style incentive to thousands more advisors, according to a Securities and Exchange Commission filing reviewed by AdvisorHub.
Read More

Wall Street Journal Analysis Questions Investor Gains Following DuPont's Decade-Long Breakup

February 19th, 2026 at 2:07 PM
A Wall Street Journal analysis has raised questions about investor returns following DuPont’s multi-year corporate restructuring, which divided the historic conglomerate into multiple independent companies.
Read More

American Portfolios Ordered to Pay $4.6 Million in Restitution Over Cash Sweep Program Disclosures

February 18th, 2026 at 10:50 AM
The Financial Industry Regulatory Authority (FINRA) has ordered American Portfolios Financial Services to return $4.6 million to customers and pay monetary sanctions after determining that the firm overcharged investors and failed to properly disclose how it generated revenue through a cash sweep program.
Read More

FINRA Fines Kingswood Capital Partners $150,000 for Supervisory Failures in GWG L Bond Sales

February 17th, 2026 at 3:47 PM
The Financial Industry Regulatory Authority (FINRA) censured and fined San Diego–based broker-dealer Kingswood Capital Partners $150,000 after finding supervisory failures tied to sales of high-risk GWG L bonds.
Read More

FINRA Removes Arbitrators in Stifel Case, Drawing Scrutiny Over Impartiality Standards

February 16th, 2026 at 11:53 AM
FINRA agreed to remove two potential arbitrators from an upcoming Stifel Financial arbitration tied to former Miami-based broker Chuck Roberts, a move that could carry broad implications for investor arbitration.
Read More

Cetera Fined $1.1 Million Over Supervisory and AML Deficiencies

February 13th, 2026 at 11:20 AM
The Financial Industry Regulatory Authority (FINRA) has censured and fined Cetera Financial Group $1.1 million after identifying supervisory system and anti-money laundering (AML) failures across several subsidiary broker-dealers.
Read More

CFTC Signals New Rulemaking for Prediction Markets and Crypto Oversight

February 12th, 2026 at 3:20 PM
The Commodity Futures Trading Commission (CFTC) plans to develop new regulations governing the growing prediction markets industry, Chairman Michael Selig announced, signaling a shift in regulatory strategy.
Read More

Ameriprise Advisor Phishing Incident Potentially Exposes Client Data

February 11th, 2026 at 1:38 PM
A phishing incident involving an Ameriprise Financial advisor potentially exposed the personal information of hundreds of clients, according to a disclosure posted by the Maine Attorney General’s office.
Read More

Merrill Lynch Expands Client Disclosures on Crypto and AI Risks

February 10th, 2026 at 1:42 PM
Merrill Lynch updated its required client disclosure brochure to address, for the first time, the evolving risks tied to cryptocurrency-linked investments and the firm’s expanding use of Artificial Intelligence tools.
Read More

TESTIMONIALS

Previous
Next

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

March 11, 2026
SEC and Commonwealth Financial Network Move Toward Settlement in Revenue Sharing Disclosure Case

The Securities and Exchange Commission (SEC) and Commonwealth Financial Network notified a federal court that they are attempting to resolve a long running enforcement dispute involving alleged disclosure failures tied to revenue sharing payments, according to ThinkAdvisor.

March 10, 2026
Northern Trust Faces $35 Million Elder Abuse Lawsuit Over Alleged Trust Theft

Northern Trust faces a lawsuit seeking at least $35 million in damages over allegations that its former vice president stole millions from a $20 million legacy trust belonging to an elderly beneficiary, according to ThinkAdvisor.

March 9, 2026
SEC Alerts Investors as to the Relationship Investment Scam

The Securities and Exchange Commission (SEC) has alerted investors that fraudsters increasingly rely on relationship-based investment schemes to steal money.