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Tagged with "eccleston"

Advisor Recruiting Surges in 2025 as Industry Movement Reaches New Highs

Posted on April 23rd, 2026 at 12:59 PM
Advisor Recruiting Surges in 2025 as Industry Movement Reaches New Highs

Advisor movement across the wealth management industry accelerated sharply in 2025, with 11,172 experienced financial advisors changing firms, according to reporting by Wealth Management citing the latest Advisor Transition Report from Diamond Consultants.

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FINRA Suspends Former Cape Securities CCO for Supervision Failures Tied to GWG L Bonds and Complex ETPs

Posted on April 20th, 2026 at 2:03 PM
FINRA Suspends Former Cape Securities CCO for Supervision Failures Tied to GWG L Bonds and Complex ETPs

The Financial Industry Regulatory Authority (FINRA) recently suspended and fined Lester Joel Hochler, the former Chief Compliance Officer of Cape Securities Inc., for failing to reasonably supervise recommendations of speculative debt securities and complex exchange-traded products to retail customers.

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Florida Advisor Sentenced to 90 Months for Foreign Currency Ponzi Scheme and Tax Evasion

Posted on April 17th, 2026 at 11:10 AM
Florida Advisor Sentenced to 90 Months for Foreign Currency Ponzi Scheme and Tax Evasion

A federal court sentenced John A.

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Former Financial Advisor Pleads Guilty to $10 Million Fraud Scheme Targeting Elderly Client

Posted on April 16th, 2026 at 11:27 AM
Former Financial Advisor Pleads Guilty to $10 Million Fraud Scheme Targeting Elderly Client

A former financial advisor has pleaded guilty to wire fraud after orchestrating a scheme that stole nearly $10 million from an elderly client, according to reporting by Financial Advisor News.

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Court Issues Split Ruling in Edelman Advisor Dispute

Posted on April 15th, 2026 at 4:55 PM
Court Issues Split Ruling in Edelman Advisor Dispute

A federal court in Delaware has delivered a mixed decision in a dispute between Edelman Financial Engines and Prime Capital Financial, underscoring the legal limits of restrictive covenants in the advisory space.

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FINRA Seeks Public Comment on Potential Overhaul of Arbitration Rules

Posted on April 14th, 2026 at 11:56 AM
FINRA Seeks Public Comment on Potential Overhaul of Arbitration Rules

The Financial Industry Regulatory Authority (FINRA) has issued Regulatory Notice 26-06, requesting public comments on proposed changes to its arbitration framework.

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SEC Issues Long-Awaited Guidance on Digital Assets

Posted on April 13th, 2026 at 11:40 AM
SEC Issues Long-Awaited Guidance on Digital Assets

The U.S.

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FINRA Charges Former Pruco Securities Broker With Forging Annuity Applications to Generate Commissions

Posted on April 10th, 2026 at 12:10 PM
FINRA Charges Former Pruco Securities Broker With Forging Annuity Applications to Generate Commissions

The Financial Industry Regulatory Authority (FINRA) has filed a complaint against former Pruco Securities broker Avinesh Shankar, accusing him of forging customer signatures on dozens of annuity applications in order to collect advance commissions.

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Private Credit Funds Face Liquidity Strain as Redemption Requests Surge

Posted on April 9th, 2026 at 12:25 PM
Private Credit Funds Face Liquidity Strain as Redemption Requests Surge

Investor demand for liquidity has intensified across the private credit market, leaving billions in capital temporarily inaccessible due to withdrawal restrictions, according to AdvisorHub.

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LATEST NEWS AND ARTICLES

1776963542 Law
April 23, 2026
Advisor Recruiting Surges in 2025 as Industry Movement Reaches New Highs

Advisor movement across the wealth management industry accelerated sharply in 2025, with 11,172 experienced financial advisors changing firms, according to reporting by Wealth Management citing the latest Advisor Transition Report from Diamond Consultants.

1776796402 Law
April 21, 2026
DOL Proposal on Alternative Assets in 401(k)s Faces Cautious Reception

The U.S.

1776708210 Law
April 20, 2026
FINRA Suspends Former Cape Securities CCO for Supervision Failures Tied to GWG L Bonds and Complex ETPs

The Financial Industry Regulatory Authority (FINRA) recently suspended and fined Lester Joel Hochler, the former Chief Compliance Officer of Cape Securities Inc., for failing to reasonably supervise recommendations of speculative debt securities and complex exchange-traded products to retail customers.