Tr?id=566623520170033&ev=PageView&noscript=1

Eccleston Law Blog

Terraform Labs Faces Class Action Over TerraUS Failure

September 15th, 2022 at 11:16 AM
Terraform Labs is facing a potential class action suit over the collapse of its TerraUS stablecoin, which generated millions in losses to investors. 
Read More

Former Wisconsin Advisor Receives 84-Month Prison Sentence For Fraud

September 13th, 2022 at 3:39 PM
A former Wisconsin-based advisor has received an 84-month prison sentence for defrauding nearly 100 investors and a bank, according to the Department of Justice. 
Read More

Former David Lerner Advisor Agrees To Settlement Over Proprietary Energy Fund

September 12th, 2022 at 12:55 PM
The Financial Industry Regulatory Authority (FINRA) has agreed to a settlement with a barred David Lerner advisor over the millions of dollars of unpaid distributions owed to investors who purchased a proprietary energy fund prior to energy prices collapsing in 2020.
Read More

FINRA Settles With Kovack Over Failure to Supervise

September 9th, 2022 at 1:11 PM
Kovack Securities over the firm’s failure to supervise one of its unnamed advisors who improperly recommended short-term investments in mutual fund share classes. 
Read More

FINRA Suspends Former Merrill Advisor Over Unauthorized Trades

September 8th, 2022 at 1:48 PM
The Financial Industry Regulatory Authority (FINRA) has issued a 45-day suspension and a $5,000 fine on a former Merrill Lynch advisor who allegedly completed unauthorized trades in three separate client accounts. 
Read More

Former Rockefeller Advisor Lands at Colorado RIA After Unauthorized Trading Allegations

September 7th, 2022 at 2:08 PM
A former Rockefeller Capital Management advisor, Brent Hablutzel, has joined an LPL Financial-affiliated firm after his termination in July over allegations that he completed several unauthorized trades on behalf of his clients. 
Read More

SEC Charges Denver Real Estate Developer with Securities Fraud

September 6th, 2022 at 12:53 PM
The Securities and Exchange Commission (SEC) has charged a Denver real estate developer, WDC Holdings LLC, as well as its owner, Robert Watson, for allegedly misrepresenting their investments in securities offerings to fund ten distinct real estate projects. 
Read More

California Advisor Terminated From Two Firms Over Undisclosed Outside Business

September 2nd, 2022 at 1:19 PM
A California-based financial advisor had his record tarnished on two occasions in a six-month period over related undisclosed outside business activity (OBA) allegations. 
Read More

Massachusetts Initiates Sweep of Single-Stock ETFs

September 1st, 2022 at 3:24 PM
Massachusetts’ head securities regulator, William Galvin, has initiated a sweep of complex single-stock exchange-traded fund (ETF) offerings that were recently introduced to the public. 
Read More

Former Advisor Pleads Guilty To Fraudulently Obtaining Paycheck Protection Program Loans

August 31st, 2022 at 1:57 PM
A former Florida-based advisor, Gregory Blotnick, has pleaded guilty to fraudulently obtaining at least $4.6 million in Paycheck Protection Program (PPP) loans administered by the Small Business Administration (SBA) during the pandemic. 
Read More

TESTIMONIALS

Previous
Next
Quotes Bigger

Thank You from the bottom of our hearts for all you have done for us. When we realized this was a very bad investment - we did not know where to turn for help. Then we received your name. When we called you - you were so kind to us and then agreed to help us. For this we are so very grateful. The world would be a much nicer place if there were more people like the two of you in it. We will always remember all the help and kindness you have shown us. Thank you so very very much for everything.

Wayne and Judy S.

LATEST NEWS AND ARTICLES

1780676353 Law
June 5, 2026
Redemption Pressure Mounts Across Private Credit and Non-Traded BDC Market

Investors continued pulling money from private credit and nontraded business development companies ("BDCs") during the first quarter of 2026 as concerns about liquidity and portfolio valuations intensified across the sector, according to reporting by InvestmentNews.

1780588152 Law
June 4, 2026
Former Wells Advisor Alleges Age Discrimination

A former Wells Fargo senior private client financial advisor in Wisconsin has filed a federal lawsuit alleging the firm terminated him because of his age rather than an alleged workplace profanity incident.

1780507151 Law
June 3, 2026
Starwood REIT Suspends Most Redemptions Amid Liquidity Pressure

Starwood Real Estate Income Trust (SREIT) has announced a temporary suspension of its share repurchase program for most investors.