Eccleston Law Blog

Florida Attorney General Targets RAD Diversified REIT Over Suspected Ponzi Scheme

July 31st, 2025 at 3:38 PM
Florida Attorney General James Uthmeier has launched an aggressive investigation into RAD Diversified REIT, Inc., its subsidiaries, and its owners, Brandon “Dutch” Mendenhall and Amy Vaughn, for allegedly violating Florida’s Deceptive and Unfair Trade Practices Act and other state laws.
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Florida Woman Arrested in $2.6 Million Theft Scheme Tied to Former Merrill Lynch Advisor

July 30th, 2025 at 11:14 AM
A Florida woman faces multiple felony charges for allegedly helping a former Merrill Lynch advisor steal millions from a high-profile NFL client, as reported by AdvisorHub.
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Stifel Faces Mounting Arbitration Losses Over Chuck Roberts' Structured Note Sales

July 29th, 2025 at 12:49 PM
Stifel Financial has reached another substantial settlement connected to a controversial structured note strategy promoted by Miami-based broker Chuck A. Roberts.
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SEC Bars California Advisor for $4.6 Million Client Theft and Falsified Filings

July 28th, 2025 at 11:37 AM
The Securities and Exchange Commission (SEC) has permanently barred Andrew Nash, a Santa Barbara-based investment adviser, from the securities industry after alleging he misappropriated $4.6 million from a client and falsified regulatory filings to cover up the theft.
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Former Merrill Lynch Broker Settles SEC Case Over $3 Million Investment Fraud

July 25th, 2025 at 1:56 PM
A former Dallas-based broker has settled civil charges with the Securities and Exchange Commission (SEC) after stealing nearly $3 million from his clients over nine years.
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Beware the Hidden Risks Lurking in Option-Income ETFs

July 24th, 2025 at 11:47 AM
Lately, a wave of option-income exchange-traded funds (ETFs) has flooded the market, boasting eye-popping yields as high as 230 percent.
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SEC Bars Brite Advisors USA for Custody Rule Violations and Disclosure Failures

July 23rd, 2025 at 1:07 PM
The Securities and Exchange Commission (“SEC”) has permanently barred Brite Advisors USA, a New York-based investment adviser managing roughly $400 million in assets, from operating in the advisory business.
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Former Advisor Sentenced to Over Eight Years for $17 Million Fraud Scheme

July 22nd, 2025 at 11:42 AM
A former financial advisor from Pennsylvania has been sentenced to more than eight years in federal prison for defrauding clients out of over $17 million, including his own widowed aunt.
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Federal Judge Approves $91.3 Million in GWG Holdings Bankruptcy Settlements

July 21st, 2025 at 9:22 AM
A federal bankruptcy judge in Houston has approved $91.3 million in settlements from several professional firms, company founders, and former executives tied to the collapse of GWG Holdings Inc.
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Former LPL Advisor Suspended for Beneficiary Designation Violations

July 17th, 2025 at 1:46 PM
A former LPL Financial advisor has agreed to an eight-month suspension and a $5,000 fine after the Financial Industry Regulatory Authority (FINRA) found he improperly named his immediate family members as beneficiaries on a client’s accounts without firm approval.
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LATEST NEWS AND ARTICLES

October 10, 2025
Former Two Sigma Quant Researcher Faces Fraud Charges Over Manipulated Models

Federal prosecutors and the Securities and Exchange Commission (SEC) have filed parallel actions against Jian Wu, a former quantitative researcher at Two Sigma Investments, alleging he secretly manipulated algorithmic trading models to boost his own compensation by millions of dollars.

October 9, 2025
Former Merrill Lynch Advisors Fight Allegations of Corporate Raid

A dozen former Merrill Lynch advisors who launched their own firm, OpenArc Corporate Advisory, in Atlanta are pushing back against accusations that they orchestrated a “pre-meditated corporate raid.”

October 8, 2025
Northern Trust Sues Former Advisor for Alleged Fraud and Breach of Fiduciary Duty

According to ThinkAdvisor, Northern Trust Company has filed suit against former wealth management relationship advisor Christopher Walters, alleging that he engaged in “blatant fraud” and breached his fiduciary duty to both the firm and a longtime client.