Tagged with "Eccleston Law"

SEC Highlights Rising Risks in RIA Consolidation and Focuses on Retailer Investor Protection

Posted on December 10th, 2025 at 4:18 PM
SEC Highlights Rising Risks in RIA Consolidation and Focuses on Retailer Investor Protection

The Securities and Exchange Commission signaled heightened scrutiny of investment advisers involved in mergers and acquisitions, according to its newly released 2026 Examination Priorities.

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The Vanishing Boundary Between Investing and Gambling

Posted on December 9th, 2025 at 11:34 AM
The Vanishing Boundary Between Investing and Gambling

According to Bloomberg Law, there now are the tools, tactics, and a psychology of gambling that increasingly resembles those of retail trading.

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Former Morgan Stanley Advisor Faces FINRA Action Over Undisclosed Loans from Elderly Client

Posted on December 8th, 2025 at 11:41 AM
Former Morgan Stanley Advisor Faces FINRA Action Over Undisclosed Loans from Elderly Client

FINRA filed a complaint against former Morgan Stanley advisor Kirk J. Crossen, alleging that he borrowed $400,000 from an 84-year-old customer experiencing early-stage dementia and concealed the loans from his firm.

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FINRA Fines Wedbush Securities for Margin-Securities and Disclosure Failures

Posted on December 5th, 2025 at 11:59 AM
FINRA Fines Wedbush Securities for Margin-Securities and Disclosure Failures

The Financial Industry Regulatory Authority (FINRA) ordered Wedbush Securities to pay $150,000 after identifying significant compliance and supervisory failures involving customer margin securities and required bond-pricing disclosures.

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Webull Faces Scrutiny After Alleged Account Breach and Penny Stock Manipulation

Posted on December 4th, 2025 at 11:23 AM
Webull Faces Scrutiny After Alleged Account Breach and Penny Stock Manipulation

An emerging investigation into Webull Financial centers on allegations that an unauthorized third party infiltrated the firm’s security systems, accessed customer brokerage accounts, liquidated existing holdings, and used the proceeds to purchase shares of Ten-League International Holdings Ltd.

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FINRA Sanctions Former Morgan Stanley Broker Over Unauthorized Transfers

Posted on December 3rd, 2025 at 2:40 PM
FINRA Sanctions Former Morgan Stanley Broker Over Unauthorized Transfers

A longtime Morgan Stanley financial advisor agreed to a $5,000 fine and a two-month suspension after FINRA found that he executed multiple transfers from his former spouse’s retirement account without proper authorization, as reported by AdvisorHub.

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Crypto's Leverage Shakeout Exposes Structural Risks

Posted on December 2nd, 2025 at 2:56 PM
Crypto's Leverage Shakeout Exposes Structural Risks

The crypto market’s recent downturn erased nearly $20 billion in leveraged positions within hours and half a trillion dollars in market value over a single weekend.

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UBS Winds Down Funds as First Brands Bankruptcy Ripples Through Global Markets

Posted on December 1st, 2025 at 11:16 AM
UBS Winds Down Funds as First Brands Bankruptcy Ripples Through Global Markets

UBS Group AG has begun liquidating two invoice finance funds with direct exposure to First Brands Group, marking one of the earliest moves by a major financial institution to contain the fallout from the bankrupt auto-parts supplier’s collapse, as reported by Bloomberg Law.

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Former GWG Chair Charged in Alleged $150 Million Fraud Scheme as Investor Losses Mount

Posted on November 26th, 2025 at 1:42 PM
Former GWG Chair Charged in Alleged $150 Million Fraud Scheme as Investor Losses Mount

Federal prosecutors have intensified scrutiny of the long-running collapse of GWG Holdings Inc., unveiling criminal charges against Bradley Heppner, the former chair of both GWG and Beneficient.

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Financial Advisor Accepts FINRA Bar Amidst Investigation into Alleged Misappropriation

Posted on November 25th, 2025 at 3:12 PM
Financial Advisor Accepts FINRA Bar Amidst Investigation into Alleged Misappropriation

A financial advisor affiliated with a credit union connected to Raymond James Financial agreed to an industry bar after declining to cooperate with FINRA’s investigation into allegations that he misappropriated client funds.

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LATEST NEWS AND ARTICLES

December 10, 2025
SEC Highlights Rising Risks in RIA Consolidation and Focuses on Retailer Investor Protection

The Securities and Exchange Commission signaled heightened scrutiny of investment advisers involved in mergers and acquisitions, according to its newly released 2026 Examination Priorities.

December 9, 2025
The Vanishing Boundary Between Investing and Gambling

According to Bloomberg Law, there now are the tools, tactics, and a psychology of gambling that increasingly resembles those of retail trading.

December 8, 2025
Former Morgan Stanley Advisor Faces FINRA Action Over Undisclosed Loans from Elderly Client

FINRA filed a complaint against former Morgan Stanley advisor Kirk J. Crossen, alleging that he borrowed $400,000 from an 84-year-old customer experiencing early-stage dementia and concealed the loans from his firm.