Eccleston Law Blog

Georgia Investment Advisor Pleads Guilty to Ponzi Scheme

January 8th, 2026 at 11:21 AM
A former Georgia investment adviser has pleaded guilty to wire fraud after federal prosecutors accused his firm of operating a multiyear Ponzi scheme that cost investors millions of dollars, as reported by Financial Advisor News.
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FINRA Releases 2026 Regulatory Oversight Report, Spotlighting Private Placement Compliance Risks

January 7th, 2026 at 12:22 PM
The Financial Industry Regulatory Authority (FINRA) released its 2026 Annual Regulatory Oversight Report, responding directly to member feedback and reinforcing its stated mission to protect investors and promote market integrity.
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SEC Halts Review of Ultra-Leveraged ETFs, Citing Risk Limits

January 6th, 2026 at 11:47 AM
The U.S. Securities and Exchange Commission (SEC) has stepped in to curb the expansion of ultra-leveraged exchange-traded funds, issuing a series of warning letters that effectively block proposed products designed to deliver three- and five-times the daily returns of stocks, commodities, and cryptocurrencies.
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FINRA Suspends Former UBS Broker Over Personal Credit Card Transfers

January 5th, 2026 at 2:36 PM
The Financial Industry Regulatory Authority (FINRA) has sanctioned a former UBS Wealth Management USA broker, Timothy R. Jones.
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FINRA Overhauls Arbitration Rules to Rebalance Arbitrator Selection and Codify Forum Practices

December 22nd, 2025 at 10:01 AM
The Financial Industry Regulatory Authority (FINRA) has approved significant amendments to its Codes of Arbitration Procedure designed to rebalance public arbitrator selection, increase transparency, and formalize several long-standing practices in the arbitration forum.
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Industry Groups Press Senate at Advance Financial Exploitation Prevention Act

December 19th, 2025 at 1:03 PM
Several industry associations are urging the U.S. Senate to pass the Financial Exploitation Prevention Act, legislation that would allow mutual fund companies and their transfer agents to delay redemptions when they reasonably suspect elder financial abuse.
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UBS Warns of Rising Default Risk in Private Credit

December 18th, 2025 at 4:28 PM
A UBS report signals that credit stress likely will intensify next year as borrowers confront inflation, elevated interest costs, and softening consumer conditions.
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Audit Failures, Whistleblower Claims, and Renewed Scrutiny of the Big Four

December 17th, 2025 at 2:08 PM
A series of lawsuits, congressional findings, and high-profile corporate collapses has reignited long-standing concerns about the audit industry’s ability to confront fraud, as reported by Bloomberg Law.
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Reminders for CFAs in Adhering to Compliance Standard, Client-Disclosure and Conflict Management Requirements

December 16th, 2025 at 12:57 PM
In 2023, the CFA Institute Board of Governors approved targeted revisions to the Standards of Professional Conduct, adding one new standard and updating two others.
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FINRA Sanctions Former Merrill Broker for Unapproved Referral Payouts

December 15th, 2025 at 11:51 AM
The Financial Industry Regulatory Authority (FINRA) issued a six-month suspension and a $7,500 fine against former Merrill Lynch broker Jeremiah Householder after finding that he accepted referral commissions from an unapproved third-party lender.
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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

January 23, 2026
JPMorgan Explores Crypto Trading for Institutional Clients as Wall Street Deepens Digital Asset Push

JPMorgan is weighing another significant expansion into cryptocurrency, as the firm considers allowing institutional clients to trade digital assets, according to Bloomberg Law.

January 22, 2026
EC Zeroes In on Persistent Marketing Rule Failures With New Staff FAQs

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 deta...

January 21, 2026
New Investor Losses as Yieldstreet Rebrands to Willow Wealth

Yieldstreet, now operating under the name Willow Wealth, continues to report significant losses to investor clients despite a high-profile rebrand.