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Eccleston Law Blog

FINRA Charges Former Pruco Securities Representative With Forging Dozens of Customer Signatures on Annuity Applications

March 27th, 2026 at 10:43 AM
The Financial Industry Regulatory Authority (FINRA) filed a disciplinary complaint against former Pruco Securities representative Avinesh Shankar alleging he forged customer signatures on annuity paperwork to obtain commissions, according to ThinkAdvisor.
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FINRA Bars Former Morgan Stanley Financial Advisor After Refusal to Cooperate with Investigation

March 26th, 2026 at 11:58 AM
The Financial Industry Regulatory Authority (FINRA) has barred former Morgan Stanley financial advisor Gregory V.
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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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LATEST NEWS AND ARTICLES

1774622627 Law
March 27, 2026
FINRA Charges Former Pruco Securities Representative With Forging Dozens of Customer Signatures on Annuity Applications

The Financial Industry Regulatory Authority (FINRA) filed a disciplinary complaint against former Pruco Securities representative Avinesh Shankar alleging he forged customer signatures on annuity paperwork to obtain commissions, according to ThinkAdvisor.

1774540693 Law
March 26, 2026
FINRA Bars Former Morgan Stanley Financial Advisor After Refusal to Cooperate with Investigation

The Financial Industry Regulatory Authority (FINRA) has barred former Morgan Stanley financial advisor Gregory V.

1774452488 Law
March 25, 2026
Inspired Healthcare Collapse Triggers Investor Claims and Heightened FINRA Scrutiny

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.