Eccleston Law Blog

Boston Man Agrees To SEC Settlement After Guilty Plea

January 6th, 2022 at 3:05 PM
A Boston man accused of defrauding investors has agreed to a settlement with the Securities and Exchange Commission (SEC) after pleading guilty in a parallel criminal case.
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New FINRA Rule Reining In Rogue Brokerages Becomes Effective

January 5th, 2022 at 1:47 PM
The Financial Industry Regulatory Authority (FINRA) adopted a new rule in 2020 that is designed to rein in rogue brokerage firms.
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FINRA Fines Two Firms Over Mutual Fund Sales

January 4th, 2022 at 1:16 PM
The Financial Industry Regulatory Authority (FINRA) has fined Emerson Equity $1.7 million, citing several years of faulty supervision of short-term mutual fund trades.
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Notable 2021 Ponzi Schemes

January 3rd, 2022 at 1:16 PM
While 2021 was anything but an ordinary year, numerous advisors were indicted for conducting Ponzi schemes similar to previous years.
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LATEST NEWS AND ARTICLES

January 16, 2026
SEC Signals Sweeping IPO Rule Changes to Ease Path for Smaller Companies

The Securities and Exchange Commission (SEC) plans to overhaul its public offering framework to make it easier for smaller companies to access the public markets, according to remarks SEC Chairman Paul Atkins delivered at the New York Stock Exchange, as reported by Bloomberg Law.

January 15, 2026
FINRA Flags Risks of Early Withdrawals and Exchanges in Registered Index-Linked Annuities

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.

January 14, 2026
FINRA Fines and Suspends Wells Fargo Advisor Over Fictitious Expense Claims

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.