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Eccleston Law Blog

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 Arbitrators Award Schwab Client $1.34 Million in Cryptocurrency Scam Dispute

October 2nd, 2026 at 12:57 PM
A Financial Industry Regulatory Authority (FINRA) Dispute Resolution Services arbitration panel awarded nearly $1.34 million in compensatory damages to a Charles Schwab & Co.
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Prosecutors Target Multimillion-Dollar Investment Schemes Involving Promissory Notes

October 1st, 2026 at 11:13 AM
Federal prosecutors recently pursued two investment fraud cases involving promissory notes that caused combined investor losses exceeding $25 million.
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SEC Approves FINRA Overhaul of Outside Business Activity Rules

September 30th, 2026 at 1:28 PM
The Securities and Exchange Commission (SEC) has approved FINRA's long-awaited overhaul of the rules governing outside business activities and private securities transactions by financial advisors.
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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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LATEST NEWS AND ARTICLES

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November 9, 2026
Court Restrains Former Citizens Advisor From Using His Memory to Recreate Customer Names in Transition to Ameriprise

A federal judge in Boston has temporarily barred former Citizens Securities advisor Darrell Smith from using client names he recalled from memory to contact former customers after moving to Ameriprise Financial.

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November 6, 2026
CoreWeave Bonds Slide as Political Opposition to Data-Center Expansion Grows

CoreWeave's debt and stock price fell on November 4th as election victories by Democratic candidates opposing rapid data-center development raised concerns about the regulatory environment facing AI infrastructure companies.

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November 5, 2026
SEC to Expand Examination Focus on AI Oversight and Investment Adviser Compliance in 2027

The Securities and Exchange Commission (SEC) plans to scrutinize how investment advisers and other regulated firms use artificial intelligence, manage technology-related risks, and protect client information.