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Tagged with "eccleston"

Florida FINRA Arbitration Panel Orders Charles Schwab to Pay $3.8 Million to Investors

Posted on April 1st, 2026 at 12:28 PM
Florida FINRA Arbitration Panel Orders Charles Schwab to Pay $3.8 Million to Investors

A Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered Charles Schwab & Co.

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Cybersecurity Breach at Edelman Financial Engines Highlights Growing Risks for Advisory Firms

Posted on March 31st, 2026 at 12:13 PM
Cybersecurity Breach at Edelman Financial Engines Highlights Growing Risks for Advisory Firms

A recent cybersecurity incident involving Edelman Financial Engines has drawn attention to the increasing number of cyberattacks targeting registered investment advisers, according to Financial Advisor News.

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SEC and CFTC Plan Coordinated Examinations and Enforcement Efforts

Posted on March 30th, 2026 at 11:28 AM
SEC and CFTC Plan Coordinated Examinations and Enforcement Efforts

The Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) plan to coordinate examinations and enforcement actions involving firms that fall under both agencies' jurisdiction, signaling a renewed effort to streamline regulatory oversight, according to AdvisorHub.

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FINRA Charges Former Pruco Securities Representative With Forging Dozens of Customer Signatures on Annuity Applications

Posted on March 27th, 2026 at 10:43 AM
FINRA Charges Former Pruco Securities Representative With Forging Dozens of Customer Signatures on Annuity Applications

The Financial Industry Regulatory Authority (FINRA) filed a disciplinary complaint against former Pruco Securities representative Avinesh Shankar alleging he forged customer signatures on annuity paperwork to obtain commissions, according to ThinkAdvisor.

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FINRA Bars Former Morgan Stanley Financial Advisor After Refusal to Cooperate with Investigation

Posted on March 26th, 2026 at 11:58 AM
FINRA Bars Former Morgan Stanley Financial Advisor After Refusal to Cooperate with Investigation

The Financial Industry Regulatory Authority (FINRA) has barred former Morgan Stanley financial advisor Gregory V.

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Inspired Healthcare Collapse Triggers Investor Claims and Heightened FINRA Scrutiny

Posted on March 25th, 2026 at 11:28 AM
Inspired Healthcare Collapse Triggers Investor Claims and Heightened FINRA Scrutiny

The collapse of Inspired Healthcare Capital has left investors facing significant losses and has intensified legal exposure for broker-dealers and financial advisors who sold the company's private offerings.

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Former Morgan Stanley Advisor Convicted in $5 Million Fraud Scheme Involving NBA Players

Posted on March 24th, 2026 at 11:58 AM
Former Morgan Stanley Advisor Convicted in $5 Million Fraud Scheme Involving NBA Players

A federal jury convicted former Morgan Stanley advisor Darryl Cohen for orchestrating a fraud scheme that targeted three professional basketball players and resulted in losses totaling approximately $5 million, according to Wealth Management.

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FINRA Charges Sutter Securities and Former CEO in Excessive Trading Case Involving Elderly Client

Posted on March 23rd, 2026 at 1:58 PM
FINRA Charges Sutter Securities and Former CEO in Excessive Trading Case Involving Elderly Client

The Financial Industry Regulatory Authority (FINRA) has filed an enforcement complaint against Sutter Securities Inc.

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Stifel Faces Proposed ERISA Class Action Over 401(k) Fund Performance

Posted on March 19th, 2026 at 10:28 AM
Stifel Faces Proposed ERISA Class Action Over 401(k) Fund Performance

According to ThinkAdvisor, Stifel Financial now faces a proposed class action lawsuit that accuses the firm of mismanaging its profit sharing 401(k) retirement plan in violation of the Employee Retirement Income Security Act (ERISA).

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LATEST NEWS AND ARTICLES

1775060885 Law
April 1, 2026
Florida FINRA Arbitration Panel Orders Charles Schwab to Pay $3.8 Million to Investors

A Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered Charles Schwab & Co.

1774973592 Law
March 31, 2026
Cybersecurity Breach at Edelman Financial Engines Highlights Growing Risks for Advisory Firms

A recent cybersecurity incident involving Edelman Financial Engines has drawn attention to the increasing number of cyberattacks targeting registered investment advisers, according to Financial Advisor News.

1774884494 Law
March 30, 2026
SEC and CFTC Plan Coordinated Examinations and Enforcement Efforts

The Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) plan to coordinate examinations and enforcement actions involving firms that fall under both agencies' jurisdiction, signaling a renewed effort to streamline regulatory oversight, according to AdvisorHub.