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Tagged with "eccleston"

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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SEC Charges Long Island RIA and Executives in $138 Million Private Fund Scheme

Posted on April 7th, 2026 at 11:13 AM
SEC Charges Long Island RIA and Executives in $138 Million Private Fund Scheme

A Long Island-based registered investment adviser and two of its senior executives now face parallel civil and criminal proceedings tied to an alleged scheme involving conflicted private fund investments, as reported by InvestmentNews.

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FINRA Arbitration Panel Orders Fidelity to Pay $1.3 Million Over Structured Product Disputes

Posted on April 6th, 2026 at 1:28 PM
FINRA Arbitration Panel Orders Fidelity to Pay $1.3 Million Over Structured Product Disputes

A Financial Industry Regulatory (FINRA) arbitration panel has ordered Fidelity Brokerage Services to pay approximately $1.3 million to two groups of clients who alleged misconduct tied to structured product investments, according to ThinkAdvisor.

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FINRA Enforcement Trends Show Higher Monetary Sanctions Despite Fewer Cases in 2025

Posted on April 3rd, 2026 at 5:57 PM
FINRA Enforcement Trends Show Higher Monetary Sanctions Despite Fewer Cases in 2025

The Financial Industry Regulatory Authority (FINRA) increased total monetary sanctions in 2025, even as the number of enforcement actions declined.

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LATEST NEWS AND ARTICLES

1776353258 Law
April 16, 2026
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.

1776286541 Law
April 15, 2026
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.

1776182162 Law
April 14, 2026
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.