Tagged with "eccelston law"

Kamila Elliot Prepared To Make History As First Black CFP Board Chair

Posted on January 13th, 2022 at 12:38 PM
Kamila Elliot Prepared To Make History As First Black CFP Board Chair

The first Black woman to head the CFP Board, Kamila Elliot, officially assumed her position from former CFP Board Chair Douglas King on January 1.

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SEC Report Highlights Missing Disclosures By ETFs, Mutual Funds

Posted on October 28th, 2021 at 2:58 PM
SEC Report Highlights Missing Disclosures By ETFs, Mutual Funds

The Securities and Exchange Commission’s (SEC’s) exam division has uncovered mutual funds and exchange-traded funds (ETFs) that have issued flawed or missing disclosures regarding fees, investment strategies and performance.

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SEC Freezes Assets and Halts Alleged Fraudulent Scheme By Ron Harrison

Posted on October 13th, 2021 at 1:01 PM
SEC Freezes Assets and Halts Alleged Fraudulent Scheme By Ron Harrison

The Securities and Exchange Commission (SEC) has obtained an emergency court order freezing the assets of Ron Harrison, who allegedly operated an ongoing fraudulent scheme.

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Georgia Advisor Fraudulently Invests $5.1 Million in Client Funds, SEC Alleges

Posted on July 21st, 2021 at 1:30 PM
Georgia Advisor Fraudulently Invests $5.1 Million in Client Funds, SEC Alleges

According to a complaint filed by the Securities and Exchange Commission (SEC), a Georgia-based advisor allegedly persuaded two dozen clients to invest nearly $5.1 million in two unregistered funds that purportedly guaranteed growth and limited risk.

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FINRA Orders Merrill to Pay $11.65 Million For UIT Rollover Violations

Posted on July 8th, 2021 at 1:45 PM
FINRA Orders Merrill to Pay $11.65 Million For UIT Rollover Violations

The Financial Industry Regulatory Authority (FINRA) has ordered Merrill Lynch to pay $11.65 million as part of a settlement.

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James Joseph Eccleston 2020 AV Preeminent® Rating Judicial Edition

Posted on September 16th, 2020 at 12:37 PM
James Joseph Eccleston 2020 AV Preeminent® Rating Judicial Edition

James Eccleston achieved the highest rating in both Legal Ability and Ethical Standards from Martindale Hubbell for 2020.

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CFP Board Enforcement Process: Appeals

Posted on September 14th, 2020 at 3:13 PM
CFP Board Enforcement Process: Appeals

This is the thirteenth of several posts detailing the CFP Board enforcement process. This post will focus on the CFP Board’s procedure for appeals.

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New Jersey Man Charged by SEC in Familiar Trading Fraud

Posted on September 11th, 2020 at 2:02 PM
New Jersey Man Charged by SEC in Familiar Trading Fraud

The U.S. Securities and Exchange Commission (“SEC”) has charged RRBB Asset Management, LLC, (“RRBB”) and its president, Carl Schwartz, with fraud. RRBB is based in Maplewood, New Jersey.

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Adviser Charged with Fraud by the SEC

Posted on September 4th, 2020 at 11:03 AM
Adviser Charged with Fraud by the SEC

Steven Fitzgerald Brown, the CEO, president and sole owner of Alpha Trade Analytics, Inc., has been charged with fraud by the U.S. Securities and Exchange Commission (“SEC”).

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SEC Amends Definition of Accredited Investor

Posted on August 27th, 2020 at 2:20 PM
SEC Amends Definition of Accredited Investor

The U.S. Securities and Exchange Commission (“SEC”) announced that it has amended the definition of “accredited investor.”

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If the regulators are after you, and are trying to make a case against you, and you are going to contest their allegations against you, make sure you have the best securities industry defense lawyers, Eccleston Law Firm. My case was spun into a combination of penalties including fines, cash settlements, CE courses and suspension. They were the best I have seen in action. When all was said and done, they had done their magic, my situation was negotiated and settled with a simple "letter of caution" and a case closed without action. It is the most important legal business decision you will ever make, make it Eccleston Law.

Rick R.

LATEST NEWS AND ARTICLES

January 31, 2023
Former LPL Advisor Receives 8-Year Prison Sentence For Misappropriation of Client Funds

A former LPL financial advisor recently was sentenced to more than eight years in prison, or 100 months, for his role in a scheme that misappropriated $2.8 million from six clients. 

January 30, 2023
Silvergate Shares Skyrocket Amidst FTX Meltdown

Silvergate Capital share prices increased after the company announced its fourth-quarter results, even after FTX’s collapse, which forced Silvergate to fire staff and sell assets.

January 27, 2023
SEC Files Suit Against Gemini and Genesis Over Crypto “Earn” Program

The Securities and Exchange Commission (SEC) has filed suit against two crypto brokerages, Genesis Global Capital and Gemini Trust Co., for breaching federal securities laws.