We are pleased to announce that James Eccleston has been named a Super Lawyer for 2019.
Tagged with "Eccleston Law"
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Raymond James Agrees to Pay $15 Million for Overcharging Investors
Posted on September 19th, 2019 at 5:22 PM
The Securities and Exchange Commission ("SEC") has charged Raymond James entities with improperly charging retail investors and charging excess commissions for brokerage customer investments.
James Eccleston Achieves Highest Rating in Both Legal Ability and Ethical Standards for 2019
Posted on September 18th, 2019 at 6:15 PM
James Eccleston achieved the highest rating in both Legal Ability and Ethical Standards from Martindale Hubbell for 2019.
J.P. Morgan Again Fined for Failing to Disclose Allegations of Misconduct On Form U-5
Posted on September 16th, 2019 at 2:41 PM
FINRA fined J.P. Morgan in 2009, and the regulator is doing so again – this time with a fine that is nearly 10 times greater – perhaps to send a message.
Some Successful Advisors Value Adding Staff and Technology Above Attracting New Clients
Posted on September 13th, 2019 at 12:17 PM
Enhancing services for their clients is a top priority for some successful financial advisors, according to a recent Advisor Authority study, "Successful Advisors: The Year Over Year Trends."
Lake Geneva Investor Settles SEC Market-Timing Probe for $2.37 Million
Posted on September 12th, 2019 at 11:44 AM
A mutual fund investor agreed to pay the Securities and Exchange Commission (“SEC”) nearly $2.37 million to end an investigation.
New York RIA Head Is Sentenced To 13 Years For Ponzi Scheme, Daughter Indicted
Posted on September 11th, 2019 at 2:58 PM
President of Executive Compensation Planners (“ECP”), Hector May, pled guilty last December to stealing $11.5 million from investors in a Ponzi scheme. He has been sentenced to 13 years in prison and ordered to pay $8.4 million in restitution.
Schwab Accuses Former Adviser of Soliciting a Client
Posted on September 10th, 2019 at 1:52 PM
Adviser John VanEngelenhoven left his employer, Charles Schwab, to open an RIA that custodies with TD Ameritrade Institutional. Now he faces a FINRA arbitration and preliminary injunction as Schwab accuses him of soliciting at least one of the company’s clients. VanEngelenhoven is among several ex-Schwab advisors who have been taken to court this year over client solicitation.
SEC Charges Former CFO of Florida Cash Advance Company with Fraud
Posted on September 9th, 2019 at 4:19 PM
The Securities and Exchange Commission ("SEC") charged 1 Global Capital LLC's ("1 Global") former chief financial officer, Alan G. Heide, with defrauding retail investors. The now-bankrupt Florida-based cash advance company allegedly fraudulently raised more than $322 million from 3,600 investors between 2014 and last year.
Compliance with CFP Board’s New Code of Ethics and Standards
Posted on September 6th, 2019 at 4:21 PM
When the CFP Board's new Code of Ethics and Standards of Conduct ("Code and Standards") takes effect on June 30, 2020, the CFP Board will expect 63,000 CFP professionals to act in the best interests of their clients at all times when providing an investor with "financial advice."
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