The Financial Industry Regulatory Authority (FINRA) fined and suspended James Schumaker, an independent advisor.
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
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 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.
Best-Performing Energy Funds Suffered 10-Year Losses
Posted on March 1st, 2021 at 12:51 PM
The majority of the decade's top-performing energy funds have posted losses, except for one.
Some Brokers Sold GPB Private Placements Allegedly with the Worst Wall Street Tactics
Posted on February 26th, 2021 at 1:32 PM
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.
Carve-Out Provision Plays A Crucial Role in Morgan Stanley Advisor Transition Battle
Posted on February 25th, 2021 at 3:18 PM
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.
SEC Sues Morningstar Over Undisclosed Changes to Bond Ratings
Posted on February 24th, 2021 at 3:37 PM
Morningstar Inc. allegedly made adjustments to 30 commercial mortgage-backed securities valued at $30 billion.
J.P. Morgan Advisor Sued Over Client Solicitations and Transfers
Posted on February 23rd, 2021 at 2:45 PM
J.P. Morgan Securities sued a former New Jersey-based advisor, who joined Merrill Lynch in January.
Firms Seek FINRA Approval to Relax In-Person Inspection Requirements
Posted on February 22nd, 2021 at 9:54 AM
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.
Advisors Turn to Alternatives for Safety
Posted on February 19th, 2021 at 10:03 AM
Financial advisors have embraced a broader perspective on the record-level valuations occurring against the backdrop of the COVID-19 pandemic.
Boca Raton Financial Advisor Terminated by Morgan Stanley
Posted on February 18th, 2021 at 9:12 AM
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