Tagged with "eccleston"

FINRA Launches Targeted Probe into Small-Cap Foreign IPO Underwriters

Posted on November 17th, 2025 at 2:15 PM
FINRA Launches Targeted Probe into Small-Cap Foreign IPO Underwriters

The Financial Industry Regulatory Authority (FINRA) has launched a targeted investigation into broker-dealer firms that helped small foreign companies go public in the U.S., marking its latest move to combat pump-and-dump schemes.

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FINRA Bars Former Edward Jones Broker in Crypto-Related Investigation

Posted on November 14th, 2025 at 9:32 AM
FINRA Bars Former Edward Jones Broker in Crypto-Related Investigation

The Financial Industry Regulatory Authority (FINRA) has barred former Edward Jones representative Robert David Bienvenu for refusing to provide requested information and documents related to outside accounts and investments.

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Conservation Easement Crackdown: Understanding IRS Enforcement and Investor Risk

Posted on November 13th, 2025 at 9:20 AM
Conservation Easement Crackdown: Understanding IRS Enforcement and Investor Risk

Conservation easements can serve as powerful legal tools that protect open land, preserve wildlife habitats, and offer legitimate tax benefits to property owners.

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Federal Judge Restrains Former UBS Advisors Amid Solicitation Dispute with Elevation Point

Posted on November 12th, 2025 at 9:28 AM
Federal Judge Restrains Former UBS Advisors Amid Solicitation Dispute with Elevation Point

A federal judge in Florida has approved a stipulated order restricting a $1.4 billion advisory team that left UBS Wealth Management USA for RIA Elevation Point from contacting certain clients.

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FINRA Bars Advisor Over Misuse of Client Funds and Not Cooperating

Posted on November 11th, 2025 at 9:35 AM
FINRA Bars Advisor Over Misuse of Client Funds and Not Cooperating

The Financial Industry Regulatory Authority (FINRA) has barred former Raymond James financial advisor Jose A. Gamez after he failed to appear for testimony in connection with allegations that he used client funds for personal purposes.

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FINRA Suspends Former Wells Fargo Broker Over Unapproved Real Estate Venture

Posted on November 7th, 2025 at 1:49 PM
FINRA Suspends Former Wells Fargo Broker Over Unapproved Real Estate Venture

The Financial Industry Regulatory Authority (FINRA) suspended former Wells Fargo broker George J. Cairnes for four months and fined him $25,000 for engaging in unapproved real estate outside business activity, according to a settlement letter issued.

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Former Ameriprise Broker Ordered to Pay $2.2 Million for Elder Exploitation

Posted on November 6th, 2025 at 3:23 PM
Former Ameriprise Broker Ordered to Pay $2.2 Million for Elder Exploitation

A Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered Eric A. Dupre to pay nearly $2.2 million in damages to his former firm and two customers following allegations of theft and elder exploitation.

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Former Wells Fargo Representative Suspended for Unauthorized Texting and Obstruction

Posted on November 5th, 2025 at 3:20 PM
Former Wells Fargo Representative Suspended for Unauthorized Texting and Obstruction

The Financial Industry Regulatory Authority (FINRA) has suspended former Wells Fargo representative Eyan M. Townsend for one year and fined him $10,000 for using personal text messages to conduct business and attempting to obstruct an internal investigation by deleting those communications.

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FINRA Suspends Former Morgan Stanley Advisor Over $180,000 in Improper Transfers

Posted on November 4th, 2025 at 9:23 AM
FINRA Suspends Former Morgan Stanley Advisor Over $180,000 in Improper Transfers

The Financial Industry Regulatory Authority (FINRA) suspended former Morgan Stanley advisor C.J. Kline for two years and imposed a $5,000 fine for allegedly executing more than $180,000 in improper fund transfers between his personal and brokerage accounts.

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Former Florida Broker Pleads Guilty in $2.7 Million Investment Fraud and PPP Loan Scheme

Posted on November 3rd, 2025 at 9:53 AM
Former Florida Broker Pleads Guilty in $2.7 Million Investment Fraud and PPP Loan Scheme

Former Florida broker Jared Dean Eakes, 34, of Jacksonville, has pleaded guilty to wire and bank fraud in connection with a $2.7 million investment scam and a separate scheme involving over $4.75 million in fraudulent Paycheck Protection Program (PPP) loans, according to U.S. Attorney Gregory W. Kehoe for the Middle District of Florida.

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If you are being bothered by the Regulators, call Eccleston Law, you won't regret it.

Rick R.

LATEST NEWS AND ARTICLES

November 17, 2025
FINRA Launches Targeted Probe into Small-Cap Foreign IPO Underwriters

The Financial Industry Regulatory Authority (FINRA) has launched a targeted investigation into broker-dealer firms that helped small foreign companies go public in the U.S., marking its latest move to combat pump-and-dump schemes.

November 14, 2025
FINRA Bars Former Edward Jones Broker in Crypto-Related Investigation

The Financial Industry Regulatory Authority (FINRA) has barred former Edward Jones representative Robert David Bienvenu for refusing to provide requested information and documents related to outside accounts and investments.

November 13, 2025
Conservation Easement Crackdown: Understanding IRS Enforcement and Investor Risk

Conservation easements can serve as powerful legal tools that protect open land, preserve wildlife habitats, and offer legitimate tax benefits to property owners.