About
Who We Are
Testimonials
Disclaimers
Attorneys
For Advisors
Broker Transition
Transition Negotiations
Employment Matters
State Registration Problems & Discipline
FINRA Matters
Promissory Note Matters
Team/Parnership Disputes
CFP Board Matters
FINRA Enforcement Matters
State Registration Problems & Discipline
Transition Negotiations
Broker Litigation & Arbitration
Employment Matters
Regulatory Matters
Strategic Consulting
Whistleblower Law
Promissory Note Matters
Compliance Protection
Lawyer Referral Network
Expungement of CRD/BrokerCheck Disclosures
For Investors
Securities Fraud
Breach of Fiduciary Duty
Negligent Investment Management
Unauthorized Trading
Lawyer Referral Network
News & Articles
News
Articles
Financial Counsel Blog
Videos
Newsletter Signup
Contact
Site Menu
About
Attorneys
For Advisors
For Investors
News & Articles
Contact

Eccleston Law Blog

Advisors Turn to Alternatives for Safety

February 19th, 2021 at 10:03 AM
Financial advisors have embraced a broader perspective on the record-level valuations occurring against the backdrop of the COVID-19 pandemic.
Read More

Boca Raton Financial Advisor Terminated by Morgan Stanley

February 18th, 2021 at 9:12 AM
Morgan Stanley has removed a 31-year veteran who managed $959 million in client assets.
Read More

SEC Wants Court-Appointed External Monitor to Protect GPB Capital Investors

February 17th, 2021 at 9:22 AM
After charging GPB Capital executives with fraud, The Securities Exchange Commission (SEC) wants an external monitor to govern GPB Capital actions.
Read More

Florida Based Broker Barred for Improperly Seeking Virus Relief Loan

February 16th, 2021 at 10:54 AM
The Financial Industry Regulatory Authority (FINRA) has barred a former Wells Fargo bank-based broker accused of improperly seeking a coronavirus relief loan.
Read More

Morgan Stanley Dismisses Veteran Financial Advisor

February 15th, 2021 at 1:24 PM
Morgan Stanley dismissed a veteran financial advisor from Dallas.
Read More

FINRA Issues Warning of Fraud Linked to Low-Priced Securities

February 12th, 2021 at 7:46 AM
The Financial Industry Regulatory Authority (FINRA) warns of potentially fraudulent activity involving low-priced securities offerings.
Read More

Regulation Best Interest Exams Among Top Exam Priorities for 2021

February 11th, 2021 at 11:12 AM
The Financial Industry Regulatory Authority (FINRA) expects real progress in compliance policies and procedures around Regulation Best Interest.
Read More

FINRA Warns of Potential China Trading Schemes

February 10th, 2021 at 3:07 PM
The Financial Industry Regulatory Authority (FINRA) warned of emerging stock-trading schemes executed by foreign entities.
Read More

SEC Charge GPB Capital Executive and Others With Fraud

February 9th, 2021 at 2:33 PM
The Securities and Exchange Commission (SEC) charged three individuals and their entities with running a scheme that raised over $1.7 billion from securities issued by a New York based management firm and GPB Capital.
Read More

Sales of Business Development Companies Hit Unprecedented Lows in 2020

February 8th, 2021 at 3:27 PM
Business Development Companies (BDCs) are high commission products sold by many independent broker-dealers.
Read More

Request a Free Consultation

Attorneys are standing by during regular business hours. Call us now for immediate service, or complete the form below and we will contact you as soon as possible.

 
Chicago
55 West Monroe St.
Suite 610
Chicago, Illinois 60603
(312) 332-0000
(312) 332-0003
New York City
One Liberty Plaza
165 Broadway, 23rd Floor
New York, New York 10006
(312) 332-0000
(312) 332-0003
Boca Raton
2255 Glades Road
Suite 324A
Boca Raton, Florida 33431
(312) 332-0000
(312) 332-0003
2021 © Eccleston Law, LLC.
All Rights Reserved.
The law is continuously changing. Please do not rely on information found on this site without consulting a lawyer to determine if any recent changes in the law may have an impact.