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Eccleston Law Blog

SEC Accuses Goliath Ventures of $425 Million Crypto Investment Ponzi Scheme

August 28th, 2026 at 4:04 PM
The Securities and Exchange Commission (SEC) has filed a civil complaint against Goliath Ventures Inc.
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United Capital Revives Lawsuit Against Osaic

August 27th, 2026 at 1:34 PM
According to AdvisorHub, United Capital Financial Advisors has revived its lawsuit against independent broker-dealer Osaic by filing an amended complaint that reframes the dispute around the alleged misuse of confidential information obtained during Osaic's unsuccessful effort to acquire the firm.
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FINRA Orders WestPark Capital to Pay $520,000 Over GWG L Bond Sales

August 26th, 2026 at 1:37 PM
The fallout from the collapse of GWG Holdings continues to affect the broker-dealers that sold the company's illiquid L bonds.
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Ameriprise Broker Sues LPL-Affiliated Practice Over Use of "Kindred" Name

August 25th, 2026 at 1:37 PM
AdvisorHub reports that an Ameriprise Financial broker in Oklahoma has filed a trademark infringement lawsuit against an LPL Financial-affiliated practice over its use of the word "kindred" in its name.
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Sophisticated Voice Phishing Attacks Target Major Wall Street Firms

August 24th, 2026 at 1:22 PM
According to ThinkAdvisor, hackers recently launched a series of sophisticated cyberattacks against major Wall Street firms, including prominent hedge funds and private equity companies.
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Rising Market Leverage Raises Concerns About Financial Stability Despite Low Volatility

August 21st, 2026 at 3:53 PM
The leverage that has helped drive the U.S.
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FinCEN Imposes Record $125 Million Penalty on UBS Financial Services

August 20th, 2026 at 12:44 PM
The Financial Crimes Enforcement Network (FinCEN) has imposed a $125 million civil money penalty against UBS Financial Services Inc.
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Former UBS Financial Advisor Suspended and Fined Over Unauthorized Trading Allegations

August 19th, 2026 at 12:44 PM
The Financial Industry Regulatory Authority (FINRA) suspended a former UBS Wealth Management USA broker for three months and fined him $10,000 after finding that he executed hundreds of trades in two customers' accounts without the required written authorization.
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FINRA Suspends Former Gradient Securities Advisor

August 19th, 2026 at 12:29 PM
The Financial Industry Regulatory Authority (FINRA) has suspended former Gradient Securities representative Mark J.
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Senior Protection Case Study: Edward Jones and Senior Investor Safeguards

August 18th, 2026 at 12:29 PM
A recent incident involving Edward Jones illustrates how challenging it may be to employ safeguards for protecting older clients from financial exploitation.
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