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Tagged with "Eccleston Law"

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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SEC Considers Investor Test to Expand Accredited Investor Eligibility

Posted on September 11th, 2026 at 3:38 PM
SEC Considers Investor Test to Expand Accredited Investor Eligibility

The Securities and Exchange (SEC) Chairman Paul S.

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Advisors Emphasize Early Planning as Key Defense Against Elder Financial Exploitation

Posted on September 10th, 2026 at 12:56 PM
Advisors Emphasize Early Planning as Key Defense Against Elder Financial Exploitation

Elder financial exploitation has reached crisis levels, according to InvestmentNews.

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FINRA Arbitration Panel Awards $509,000 in Suit Over Conservation Easement Investments

Posted on September 10th, 2026 at 12:53 PM
FINRA Arbitration Panel Awards $509,000 in Suit Over Conservation Easement Investments

InvestmentNews reports that a three-person arbitration panel under the aegis of Financial Industry Regulatory Authority (FINRA) Dispute Resolution Services awarded $509,000 in damages to clients of Strategic Financial Alliance Inc.

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Drive Planning Founder Sentenced to 20 Years for $380 Million Ponzi Scheme

Posted on September 8th, 2026 at 2:53 PM
Drive Planning Founder Sentenced to 20 Years for $380 Million Ponzi Scheme

Todd Burkhalter, founder and CEO of Georgia-based financial advisory group Drive Planning LLC, received a 20-year federal prison sentence for orchestrating a years-long Ponzi scheme that defrauded more than 2,000 investors of approximately $380 million.

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Merrill Lynch and Advisor Settle Court Case for $6 Million After Advisor Allegedly Exploited Grieving Widow

Posted on September 8th, 2026 at 8:22 AM
Merrill Lynch and Advisor Settle Court Case for $6 Million After Advisor Allegedly Exploited Grieving Widow

A financial advisor allegedly exploited a client's grief over the deaths of her father and husband, showering her with attention before persuading her to hand over millions of dollars in gifts, according to reporting by InvestmentNews.

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LATEST NEWS AND ARTICLES

1789752835 Law
September 18, 2026
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.

1789665543 Law
September 17, 2026
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.

1789589290 Law
September 16, 2026
Edelman Financial Engines Secures TRO Against Advisor Who Joined RFG Advisory

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