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Tagged with "Eccleston Law"

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FINRA Suspends Advisor Who Helped His Barred Father Service Clients

Posted on March 3rd, 2021 at 1:19 PM
FINRA Suspends Advisor Who Helped His Barred Father Service Clients

The Financial Industry Regulatory Authority (FINRA) fined and suspended James Schumaker, an independent advisor.

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J.P. Morgan Returns to Court to Block Former Advisor From Soliciting Clients

Posted on March 2nd, 2021 at 2:26 PM
J.P. Morgan Returns to Court to Block Former Advisor From Soliciting Clients

J.P. Morgan Securities has filed an action against Stephen Browne for "aggressively soliciting" former clients and prematurely informing them of his transition, allegedly in violation of his employment agreements.

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Best-Performing Energy Funds Suffered 10-Year Losses

Posted on March 1st, 2021 at 12:51 PM
Best-Performing Energy Funds Suffered 10-Year Losses

The majority of the decade's top-performing energy funds have posted losses, except for one.

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Some Brokers Sold GPB Private Placements Allegedly with the Worst Wall Street Tactics

Posted on February 26th, 2021 at 1:32 PM
Some Brokers Sold GPB Private Placements Allegedly with the Worst Wall Street Tactics

According to news sources, some brokers arranged lavish client dinners and purchased private suites at Madison Square Garden to promote and sell $1.8 billion in private placements managed by GPB Capital.

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Carve-Out Provision Plays A Crucial Role in Morgan Stanley Advisor Transition Battle

Posted on February 25th, 2021 at 3:18 PM
Carve-Out Provision Plays A Crucial Role in Morgan Stanley Advisor Transition Battle

An employment agreement, including a one-paragraph amendment signed over a decade ago, now is playing a crucial role in ongoing litigation between Morgan Stanley and RBC.

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SEC Sues Morningstar Over Undisclosed Changes to Bond Ratings

Posted on February 24th, 2021 at 3:37 PM
SEC Sues Morningstar Over Undisclosed Changes to Bond Ratings

Morningstar Inc. allegedly made adjustments to 30 commercial mortgage-backed securities valued at $30 billion.

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J.P. Morgan Advisor Sued Over Client Solicitations and Transfers

Posted on February 23rd, 2021 at 2:45 PM
J.P. Morgan Advisor Sued Over Client Solicitations and Transfers

J.P. Morgan Securities sued a former New Jersey-based advisor, who joined Merrill Lynch in January.

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Firms Seek FINRA Approval to Relax In-Person Inspection Requirements

Posted on February 22nd, 2021 at 9:54 AM
Firms Seek FINRA Approval to Relax In-Person Inspection Requirements

Member firms have requested that the Financial Industry Regulatory Authority (FINRA)  ease in-person supervision requirements and revise other rules to reflect current digital business operations.

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Advisors Turn to Alternatives for Safety

Posted on February 19th, 2021 at 10:03 AM
Advisors Turn to Alternatives for Safety

Financial advisors have embraced a broader perspective on the record-level valuations occurring against the backdrop of the COVID-19 pandemic.

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Boca Raton Financial Advisor Terminated by Morgan Stanley

Posted on February 18th, 2021 at 9:12 AM
Boca Raton Financial Advisor Terminated by Morgan Stanley

Morgan Stanley has removed a 31-year veteran who managed $959 million in client assets.

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Next »
Page 1 of 120
Latest Articles
FINRA Suspends Advisor Who Helped His Barred Father Service Clients
March 3rd, 2021 at 1:19 PM
J.P. Morgan Returns to Court to Block Former Advisor From Soliciting Clients
March 2nd, 2021 at 2:26 PM
Read More »
Latest News
CFP Board is the New Sheriff and it Is Not Your Friend
October 24th, 2020 at 10:04 AM
Defending Against a Customer Complaint First Requires Selecting Correct Legal Counsel
October 15th, 2020 at 10:02 AM
Read More »
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