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Tagged with "Defrauding"

SEC Charges Four Individuals Involved In Fraudulent Scheme Targeting Retirees

Posted on April 15th, 2022 at 1:13 PM
SEC Charges Four Individuals Involved In Fraudulent Scheme Targeting Retirees

The Securities and Exchange Commission (SEC) has charged Julie Minuskin, Dennis DiRicco, Tom Casey and Golden Genesis, Inc. with defrauding investors with their sales of high-yield promissory notes primarily to retirees.

 
 

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Boston Man Agrees To SEC Settlement After Guilty Plea

Posted on January 6th, 2022 at 3:05 PM
Boston Man Agrees To SEC Settlement After Guilty Plea

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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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.

Howard S.

LATEST NEWS AND ARTICLES

1782400213 Law
June 25, 2026
SEC Alleges Illinois Investment Adviser Misappropriated Investor Funds and Concealed Losses

According to a litigation release published on SEC.gov, the Securities and Exchange Commission (SEC) has charged John Sterling Myers and his firms, Sterling Capital, LLC and Sterling Capital Management, LLC, with orchestrating a multi-year fraud involving investor funds held in a pooled investment vehicle.

1782320106 Law
June 24, 2026
FINRA Suspends Former Broker Over Undisclosed Business Activities, Annuity Recommendation, and Customer Data Violations

The Financial Industry Regulatory Authority (FINRA) has suspended former registered representative Clayton K.

1782226532 Law
June 23, 2026
NASAA Advances Investment Adviser Advertising Reforms and Franchise Broker Registration Framework

The North American Securities Administrators Association (NASAA) has approved significant regulatory initiatives aimed at modernizing oversight of investment advisers and strengthening protections for individuals considering franchise investments.