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Tagged with "eccleston"

SEC Bars Advisor for Unauthorized Trades and Client Data Misuse

Posted on September 25th, 2026 at 1:04 PM
SEC Bars Advisor for Unauthorized Trades and Client Data Misuse

A California-based investment adviser has agreed to a three-year industry bar and $266,000 in monetary sanctions after the Securities and Exchange Commission (SEC) accused him of making unauthorized trades, transferring confidential client information to a newly launched registered investment adviser, and concealing his termination from a former firm.

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FINRA Proposes Expanded Fraud Protections and Trusted Contact Flexibility

Posted on September 24th, 2026 at 2:53 PM
FINRA Proposes Expanded Fraud Protections and Trusted Contact Flexibility

The Financial Industry Regulatory Authority (FINRA) has sent three proposed rules to the Securities and Exchange Commission (SEC) for approval.

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SEC Warns Investors About Pre-IPO Investment Scams

Posted on September 23rd, 2026 at 1:00 PM
SEC Warns Investors About Pre-IPO Investment Scams

The SEC's Office of Investor Education and Advocacy (OIEA) has issued an Investor Alert warning investors about scams that falsely offer opportunities to purchase "pre-IPO" shares of companies.

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Wells Fargo Advisors Continue Manual Trading Amid Vendor Disruption

Posted on September 22nd, 2026 at 11:48 AM
Wells Fargo Advisors Continue Manual Trading Amid Vendor Disruption

Wells Fargo Advisors brokers continued placing trading orders by phone and email as a disruption involving an outside vendor persisted for a second week.

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Blackstone Limits Withdrawals From Blackstone Private Credit Fund

Posted on September 21st, 2026 at 12:34 PM
Blackstone Limits Withdrawals From Blackstone Private Credit Fund

Blackstone's flagship private credit fund faces continued pressure from investors seeking liquidity.

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SEC Sanctions Investment Adviser and Executive for Disproportionate Trade Allocations

Posted on September 18th, 2026 at 1:33 PM
SEC Sanctions Investment Adviser and Executive for Disproportionate Trade Allocations

The Securities and Exchange Commission (SEC) has determined that the conduct of registered investment advisory firm Barrington Asset Management, and its executive vice-president and chief compliance officer, Gregory Paris, disadvantaged clients and breached their fiduciary duties owed to clients.

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SEC Charges 38 Entities Over Allegedly Fraudulent Adviser Filings

Posted on September 17th, 2026 at 1:19 PM
SEC Charges 38 Entities Over Allegedly Fraudulent Adviser Filings

The Securities and Exchange Commission (SEC) charged 38 entities with allegedly making material misrepresentations in Forms ADV filed with the SEC between 2025 and 2026.

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Edelman Financial Engines Secures TRO Against Advisor Who Joined RFG Advisory

Posted on September 16th, 2026 at 4:08 PM
Edelman Financial Engines Secures TRO Against Advisor Who Joined RFG Advisory

Edelman Financial Engines recently secured a temporary restraining order (TRO) against Chad A.

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FINRA Suspends Former Northwestern Mutual Broker Over Customer Loans

Posted on September 15th, 2026 at 12:38 PM
FINRA Suspends Former Northwestern Mutual Broker Over Customer Loans

The Financial industry Regulatory Authority (FINRA) has suspended and fined a former Northwestern Mutual broker after he solicited two customers for loans to purchase another representative's book of business but instead used most of the money to pay personal expenses and other debt, according to an Acceptance, Waiver, and Consent (AWC) letter.

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SEC Considers Expanding Retail Access to Private Markets

Posted on September 14th, 2026 at 12:38 PM
SEC Considers Expanding Retail Access to Private Markets

The Securities and Exchange Commission (SEC) is considering a proposal that could expand retail investors' access to private markets and allow investment advisers to charge performance fees to a broader group of clients.

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LATEST NEWS AND ARTICLES

1790355869 Law
September 25, 2026
SEC Bars Advisor for Unauthorized Trades and Client Data Misuse

A California-based investment adviser has agreed to a three-year industry bar and $266,000 in monetary sanctions after the Securities and Exchange Commission (SEC) accused him of making unauthorized trades, transferring confidential client information to a newly launched registered investment adviser, and concealing his termination from a former...

1790276008 Law
September 24, 2026
FINRA Proposes Expanded Fraud Protections and Trusted Contact Flexibility

The Financial Industry Regulatory Authority (FINRA) has sent three proposed rules to the Securities and Exchange Commission (SEC) for approval.

1790182800 Law
September 23, 2026
SEC Warns Investors About Pre-IPO Investment Scams

The SEC's Office of Investor Education and Advocacy (OIEA) has issued an Investor Alert warning investors about scams that falsely offer opportunities to purchase "pre-IPO" shares of companies.