Eccleston Law Blog

FINRA Flags Risks of Early Withdrawals and Exchanges in Registered Index-Linked Annuities

January 15th, 2026 at 4:08 PM
The Financial Industry Regulatory Authority (FINRA) has issued a renewed warning to the industry about the risks consumers face when they exit registered index-linked annuities (RILAs) before the end of the contract term.
Read More

FINRA Fines and Suspends Wells Fargo Advisor Over Fictitious Expense Claims

January 14th, 2026 at 11:43 AM
The Financial Industry Regulatory Authority (FINRA) fined and suspended a Wells Fargo Advisors representative in Waco, Texas, after finding that he submitted fictitious business expense claims, according to a FINRA Acceptance, Waiver and Consent (AWC) letter.
Read More

Florida Man Indicted in $36 Million Investment Fraud Scheme

January 12th, 2026 at 1:38 PM
According to news sources, federal prosecutors allege that a Florida man orchestrated a multimillion-dollar Ponzi scheme that funded a luxury lifestyle built on stolen investor money, according to the U.S. Department of Justice.
Read More

FINRA Sanctions Former Wells Fargo Advisor for Profile Falsification and Unauthorized Trading

January 9th, 2026 at 11:27 AM
The Financial Industry Regulatory Authority (FINRA) disciplined former Wells Fargo Advisors broker James E. Holmes III for misconduct tied to his falsifying customer information and unauthorized trading.
Read More

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.
Read More

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.
Read More

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.
Read More

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.
Read More

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.
Read More

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.
Read More

TESTIMONIALS

Previous
Next

I just wanted to say thanks again for preparing and executing my case in such a professional manner. It was a pleasure to watch two professionals take such pride in their work, as well as becoming personally in tune with your client (Me). I would personally recommend you and your firm to anyone.

John O.

LATEST NEWS AND ARTICLES

February 12, 2026
CFTC Signals New Rulemaking for Prediction Markets and Crypto Oversight

The Commodity Futures Trading Commission (CFTC) plans to develop new regulations governing the growing prediction markets industry, Chairman Michael Selig announced, signaling a shift in regulatory strategy.

February 11, 2026
Ameriprise Advisor Phishing Incident Potentially Exposes Client Data

A phishing incident involving an Ameriprise Financial advisor potentially exposed the personal information of hundreds of clients, according to a disclosure posted by the Maine Attorney General’s office.

February 10, 2026
Merrill Lynch Expands Client Disclosures on Crypto and AI Risks

Merrill Lynch updated its required client disclosure brochure to address, for the first time, the evolving risks tied to cryptocurrency-linked investments and the firm’s expanding use of Artificial Intelligence tools.