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Eccleston Law Blog

FINRA Bars Former LPL Broker Over Alleged $1.7 Million Customer Theft

October 19th, 2026 at 1:50 PM
The Financial Industry Regulatory Authority (FINRA) has barred former LPL Financial broker Rudy Anguiano after finding that he converted more than $1.7 million from two customers, according to AdvisorHub.
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Ameriprise and Broker Ordered to Pay Edward Jones Nearly $4.8 Million in Trade Secrets Dispute

October 16th, 2026 at 11:36 AM
Ameriprise Financial and broker Cory J.
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SEC Warns Firms to Improve Private Asset Valuation and Disclosures

October 15th, 2026 at 12:50 PM
The Securities and Exchange Commission (SEC) is pressing financial firms to take greater care when valuing private assets as liquidity tightens and investor redemption requests increase, according to AdvisorHub.
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FINRA Study Finds Advanced Investment Knowledge Does Not Eliminate Fraud Risk

October 14th, 2026 at 12:48 PM
Research using the FINRA Investor Education Foundation's 2024 National Financial Capability Study found that fewer than one in five investors with non-retirement investments demonstrate advanced investment literacy.
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LPL Financial Faces Investor Claims Tied to Former Broker's Outside Activities

October 13th, 2026 at 3:05 PM
LPL Financial faces at least nine pending investor claims involving former El Paso, Texas broker Michael C.
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SEC Targets Companies in Alleged $15 Million Social Media Investment Fraud Schemes

October 12th, 2026 at 11:21 AM
The Securities and Exchange Commission (SEC) has charged entities behind two alleged investment fraud schemes that raised more than $15 million from investors through WhatsApp, Facebook and other online platforms.
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PIMCO Faces Heavy Losses on Philadelphia Office CMBS

October 9th, 2026 at 4:40 PM
Pacific Investment Management Co.
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Delaware Life Faces Proposed Class Action Over Alleged Private Credit Disclosures

October 8th, 2026 at 12:40 PM
A Florida investor has filed a proposed class action against Delaware Life Insurance Co.
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SEC Charges Investment Fund Operators in Alleged $8.7 Million Fraud Scheme

October 7th, 2026 at 12:26 PM
The Securities and Exchange Commission (SEC) has charged Christopher Kenji Dinelli and Jacob David "Kobe" Frankel with allegedly defrauding 35 investors of more than $8.7 million through Beyond Alpha Ventures LLC and investment advisory firm Beyond Equity LLC.
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House Passes Bill to Restore Tax Deduction for Financial Fraud Victims

October 5th, 2026 at 1:10 PM
Victims of financial fraud may soon receive additional tax relief under legislation that overwhelmingly passed in the House of Representatives.
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FINRA Finds Florida Broker Violated Regulation Best Interest in Variable Annuity Exchanges

The Financial Industry Regulatory Authority (FINRA) has found that a Florida-based registered representative violated Regulation Best Interest (Reg BI) by recommending that eight retired clients exchange their variable annuities.