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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LATEST NEWS AND ARTICLES

September 21, 2023
SEC Charges Private Equity Firm Over Fee Disclosure Failures to Affiliate

The Securities and Exchange Commission (SEC) has charged Prime Group Holdings LLC, a private equity firm specializing in alternative real estate asset investments, with
inadequate disclosure of millions of dollars in real estate brokerage fees paid to a brokerage firm owned by its CEO.

September 20, 2023
SEC Orders Legendary Capital Founder and REIT Advisors to Pay Nearly $5 Million

Corey Maple, co-founder of non-traded REIT sponsor Legendary Capital, has agreed to a $100,000 civil penalty to settle charges brought by the Securities and Exchange Commission (SEC).

September 19, 2023
Reg BI Violations Lead to FINRA's Fine on Another Broker-Dealer

The Financial Industry Regulatory Authority (FINRA) has fined and censured broker-dealer Network 1 Financial Securities and its chief compliance officer for violating Regulation Best Interest (Reg BI).