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Eccleston Law Blog

Inspired Healthcare Collapse Triggers Investor Claims and Heightened FINRA Scrutiny

March 25th, 2026 at 11:28 AM
The collapse of Inspired Healthcare Capital has left investors facing significant losses and has intensified legal exposure for broker-dealers and financial advisors who sold the company's private offerings.
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Former Morgan Stanley Advisor Convicted in $5 Million Fraud Scheme Involving NBA Players

March 24th, 2026 at 11:58 AM
A federal jury convicted former Morgan Stanley advisor Darryl Cohen for orchestrating a fraud scheme that targeted three professional basketball players and resulted in losses totaling approximately $5 million, according to Wealth Management.
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FINRA Charges Sutter Securities and Former CEO in Excessive Trading Case Involving Elderly Client

March 23rd, 2026 at 1:58 PM
The Financial Industry Regulatory Authority (FINRA) has filed an enforcement complaint against Sutter Securities Inc.
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McKinsey Forecasts Sweeping Changes for Wealth Management Over the Next Decade

March 20th, 2026 at 3:14 PM
The U.S.
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Stifel Faces Proposed ERISA Class Action Over 401(k) Fund Performance

March 19th, 2026 at 10:28 AM
According to ThinkAdvisor, Stifel Financial now faces a proposed class action lawsuit that accuses the firm of mismanaging its profit sharing 401(k) retirement plan in violation of the Employee Retirement Income Security Act (ERISA).
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LPL and Ameriprise Notify Clients of Cybersecurity Incidents Involving Account Access

March 18th, 2026 at 12:28 PM
LPL Financial and Ameriprise Financial Services recently notified certain clients about separate cybersecurity incidents that exposed private information and, in one case, led to unauthorized trading activity.
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Bankruptcy Court Orders Emerson Equity to Produce Records in Inspired Healthcare Case

March 17th, 2026 at 11:13 AM
A federal bankruptcy court in Fort Worth has ordered Emerson Equity to produce documents connected to the sale of private securities issued by Inspired Healthcare Capital, according to InvestmentNews.
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Concorde Investment Services Faces Scrutiny Over Sales of Inspired Healthcare Private Investments

March 16th, 2026 at 12:32 PM
Concorde Investment Services is facing increased scrutiny following the bankruptcy of Inspired Healthcare Capital, whose private investment offerings were widely sold through independent broker dealers, according to InvestmentNews.
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Connecticut Advisor Pleads Guilty to Ponzi-Like Investment Fraud and Tax Evasion

March 13th, 2026 at 10:32 AM
Federal prosecutors announced that investment adviser John A.
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Cape Coral Becomes Ground Zero for Private Lending Strains in Post-Pandemic Housing Market

March 12th, 2026 at 11:17 AM
Cape Coral, Florida, long a magnet for out-of-state real estate investors, now illustrates the growing risks of private lending in residential development.
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I learned two important things working with Eccleston Law. First, I made a friend and ally with Jim and Steph for life. Secondly, and this is a crucial life lesson - if you need counsel, then seek out the very best. Jim was referred to me by a most trusted source. I've never had to hire an attorney for anything. Now, I know the value of hiring an important partner. Meticulous, thorough and detailed in preparation is the best way to describe Jim. Brilliant too, I might add. Bottom line, I would highly highly recommend Jim and Stephany for your legal needs. One of the best life decisions I've ever made.

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LATEST NEWS AND ARTICLES

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Independent Review Recommends Sweeping Changes to FINRA's Enforcement Program

An independent review commissioned by the Financial Industry Regulatory Authority (FINRA) recommends significant changes to the regulator's enforcement program, including adopting a statute of limitations, expanding due process protections, and providing greater credit to firms that cooperate during investigations, according to AdvisorHub.

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Cresset Sues Former Advisor Over Alleged Client Solicitation and Competing RIA Launch

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A former Oregon financial advisor has pleaded guilty to fraud after admitting to a long-running scheme that caused investors to lose more than $1.6 million.