Tagged with "eccleston"

FINRA Releases 2026 Regulatory Oversight Report, Spotlighting Private Placement Compliance Risks

Posted on January 7th, 2026 at 12:22 PM
FINRA Releases 2026 Regulatory Oversight Report, Spotlighting Private Placement Compliance Risks

The Financial Industry Regulatory Authority (FINRA) released its 2026 Annual Regulatory Oversight Report, responding directly to member feedback and reinforcing its stated mission to protect investors and promote market integrity.

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SEC Halts Review of Ultra-Leveraged ETFs, Citing Risk Limits

Posted on January 6th, 2026 at 11:47 AM
SEC Halts Review of Ultra-Leveraged ETFs, Citing Risk Limits

The U.S. Securities and Exchange Commission (SEC) has stepped in to curb the expansion of ultra-leveraged exchange-traded funds, issuing a series of warning letters that effectively block proposed products designed to deliver three- and five-times the daily returns of stocks, commodities, and cryptocurrencies.

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FINRA Suspends Former UBS Broker Over Personal Credit Card Transfers

Posted on January 5th, 2026 at 2:36 PM
FINRA Suspends Former UBS Broker Over Personal Credit Card Transfers

The Financial Industry Regulatory Authority (FINRA) has sanctioned a former UBS Wealth Management USA broker, Timothy R. Jones.

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FINRA Overhauls Arbitration Rules to Rebalance Arbitrator Selection and Codify Forum Practices

Posted on December 22nd, 2025 at 10:01 AM
FINRA Overhauls Arbitration Rules to Rebalance Arbitrator Selection and Codify Forum Practices

The Financial Industry Regulatory Authority (FINRA) has approved significant amendments to its Codes of Arbitration Procedure designed to rebalance public arbitrator selection, increase transparency, and formalize several long-standing practices in the arbitration forum.

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Industry Groups Press Senate at Advance Financial Exploitation Prevention Act

Posted on December 19th, 2025 at 1:03 PM
Industry Groups Press Senate at Advance Financial Exploitation Prevention Act

Several industry associations are urging the U.S. Senate to pass the Financial Exploitation Prevention Act, legislation that would allow mutual fund companies and their transfer agents to delay redemptions when they reasonably suspect elder financial abuse.

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UBS Warns of Rising Default Risk in Private Credit

Posted on December 18th, 2025 at 4:28 PM
UBS Warns of Rising Default Risk in Private Credit

A UBS report signals that credit stress likely will intensify next year as borrowers confront inflation, elevated interest costs, and softening consumer conditions.

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Audit Failures, Whistleblower Claims, and Renewed Scrutiny of the Big Four

Posted on December 17th, 2025 at 2:08 PM
Audit Failures, Whistleblower Claims, and Renewed Scrutiny of the Big Four

A series of lawsuits, congressional findings, and high-profile corporate collapses has reignited long-standing concerns about the audit industry’s ability to confront fraud, as reported by Bloomberg Law.

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Reminders for CFAs in Adhering to Compliance Standard, Client-Disclosure and Conflict Management Requirements

Posted on December 16th, 2025 at 12:57 PM
Reminders for CFAs in Adhering to Compliance Standard, Client-Disclosure and Conflict Management Requirements

In 2023, the CFA Institute Board of Governors approved targeted revisions to the Standards of Professional Conduct, adding one new standard and updating two others.

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FINRA Sanctions Former Merrill Broker for Unapproved Referral Payouts

Posted on December 15th, 2025 at 11:51 AM
FINRA Sanctions Former Merrill Broker for Unapproved Referral Payouts

The Financial Industry Regulatory Authority (FINRA) issued a six-month suspension and a $7,500 fine against former Merrill Lynch broker Jeremiah Householder after finding that he accepted referral commissions from an unapproved third-party lender.

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SEC Charges Driver Who Posed as a Financial Professional and Lost Over $1 Million

Posted on December 12th, 2025 at 2:00 PM
SEC Charges Driver Who Posed as a Financial Professional and Lost Over $1 Million

Federal regulators charged a New York area driver with masquerading as a seasoned investment professional and causing significant losses for three investors.

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LATEST NEWS AND ARTICLES

January 7, 2026
FINRA Releases 2026 Regulatory Oversight Report, Spotlighting Private Placement Compliance Risks

The Financial Industry Regulatory Authority (FINRA) released its 2026 Annual Regulatory Oversight Report, responding directly to member feedback and reinforcing its stated mission to protect investors and promote market integrity.

January 6, 2026
SEC Halts Review of Ultra-Leveraged ETFs, Citing Risk Limits

The U.S. Securities and Exchange Commission (SEC) has stepped in to curb the expansion of ultra-leveraged exchange-traded funds, issuing a series of warning letters that effectively block proposed products designed to deliver three- and five-times the daily returns of stocks, commodities, and cryptocurrencies.

January 5, 2026
FINRA Suspends Former UBS Broker Over Personal Credit Card Transfers

The Financial Industry Regulatory Authority (FINRA) has sanctioned a former UBS Wealth Management USA broker, Timothy R. Jones.