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Eccleston Law Blog

Private Credit Funds Face Mounting Redemption Pressure as Investor Sentiment Shifts

July 7th, 2026 at 10:23 AM
A surge in investor redemption requests has intensified pressure on private credit funds, raising concerns about liquidity and long-term stability across the asset class, as reported by The Wall Street Journal.
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Schwab Imposes New Limits on Tax-Aware Long-Short Investment Strategies

July 6th, 2026 at 1:07 PM
Charles Schwab Corp.
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Financial Services Institute Backs New Jersey Bill Protecting Independent Advisor Model

July 2nd, 2026 at 1:07 PM
The Financial Services Institute (FSI) has urged New Jersey lawmakers to advance legislation that would help preserve the independent contractor status of financial advisors operating in the state.
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Private Credit Funds Face Scrutiny Over Software Exposure Amid Investor Concerns

July 1st, 2026 at 11:38 AM
Private credit fund managers are facing increased scrutiny over their exposure to software companies as investors continue to pull money from the sector during ongoing market volatility.
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FINRA Signals Stronger Enforcement Focus on Reg BI, Excessive Trading, and Best Execution

June 30th, 2026 at 12:23 PM
The Financial Industry Regulatory Authority (FINRA) plans to intensify its enforcement efforts against Regulation Best Interest (Reg BI) violations, excessive trading, options trading, churning, and best execution failures after bringing a record number of retail investor protection cases in 2025, according to ThinkAdvisor.
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Former Arvest Wealth Representative Sanctioned by FINRA Over Improper Use of Mistaken Commission Payment

June 29th, 2026 at 10:55 AM
The Financial Industry Regulatory Authority (FINRA) has suspended former Arvest Wealth representative Brandon Still for 18 months and fined him $5,000 after determining that he improperly used firm funds that were mistakenly deposited into his account.
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FINRA Seeks to Make Remote Inspection Program Permanent

June 26th, 2026 at 2:10 PM
The Financial Industry Regulatory Authority (FINRA) is seeking approval from the Securities and Exchange Commission (SEC) to make its pandemic-era remote inspections program permanent before the current pilot is scheduled to expire in June 2027, according to AdvisorHub and FINRA's summary of its recent Board of Governors meeting.
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SEC Alleges Illinois Investment Adviser Misappropriated Investor Funds and Concealed Losses

June 25th, 2026 at 11:10 AM
According to a litigation release published on SEC.gov, the Securities and Exchange Commission (SEC) has charged John Sterling Myers and his firms, Sterling Capital, LLC and Sterling Capital Management, LLC, with orchestrating a multi-year fraud involving investor funds held in a pooled investment vehicle.
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FINRA Suspends Former Broker Over Undisclosed Business Activities, Annuity Recommendation, and Customer Data Violations

June 24th, 2026 at 12:55 PM
The Financial Industry Regulatory Authority (FINRA) has suspended former registered representative Clayton K.
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NASAA Advances Investment Adviser Advertising Reforms and Franchise Broker Registration Framework

June 23rd, 2026 at 10:55 AM
The North American Securities Administrators Association (NASAA) has approved significant regulatory initiatives aimed at modernizing oversight of investment advisers and strengthening protections for individuals considering franchise investments.
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LATEST NEWS AND ARTICLES

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September 3, 2026
Texas Investment Adviser Faces Washington State Charges Over Misleading Crypto Portfolio Claims

Washington state securities regulators have charged an Austin, Texas registered investment adviser (RIA) and its founder with making misleading statements about the risks tied to one of its model portfolios, which invested heavily in crypto-backed products and volatile exchange-traded funds, according to InvestmentNews.

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September 2, 2026
Lakers Owner Sells Team for Record $12.5 Billion Amid Federal Probe

Guggenheim Partners CEO Mark Walter has sold his majority stake in the Los Angeles Lakers just as federal regulators investigate potential financial improprieties at insurance and annuities companies that he owns, InvestmentNews reports.

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September 1, 2026
FINRA Proposes New Rules to Fix Unpopular Arbitrator Selection Process

The Financial Industry Regulatory Authority (FINRA) wants to change how it selects arbitrators when its standard process fails to produce enough available panelists.