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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LATEST NEWS AND ARTICLES

January 30, 2026
FINRA Arbitration Panel Orders J.P. Morgan to Amend Form U-5, Flags Potential Pattern of Conduct

A Financial Industry Regulatory Authority (FINRA) arbitration panel recently issued an unusually detailed decision in a dispute between J.P. Morgan Securities and former advisor Joshua David Sappi Biering, shedding rare light on how a firm may deploy - and sometimes abuse - the Form U-5 during advisor departures.

January 29, 2026
OFAC Targets Individual Trustee, Sending a Clear Warning to Fiduciaries and Family Offices

In a rare move, the Office of Foreign Assets Control (OFAC) penalized a former U.S. government official, underscoring that professional gatekeepers can face personal liability for sanctions violations tied to trust administration.

January 28, 2026
FINRA Advances Overhaul of Outside Business Activity Rules to the SEC

FINRA formally has advanced its proposed overhaul of outside business activity (OBA) regulations to the Securities and Exchange Commission.