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Tagged with "Eccleston Law"

SEC Accuses Goliath Ventures of $425 Million Crypto Investment Ponzi Scheme

Posted on August 28th, 2026 at 4:04 PM
SEC Accuses Goliath Ventures of $425 Million Crypto Investment Ponzi Scheme

The Securities and Exchange Commission (SEC) has filed a civil complaint against Goliath Ventures Inc.

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United Capital Revives Lawsuit Against Osaic

Posted on August 27th, 2026 at 1:34 PM
United Capital Revives Lawsuit Against Osaic

According to AdvisorHub, United Capital Financial Advisors has revived its lawsuit against independent broker-dealer Osaic by filing an amended complaint that reframes the dispute around the alleged misuse of confidential information obtained during Osaic's unsuccessful effort to acquire the firm.

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FINRA Orders WestPark Capital to Pay $520,000 Over GWG L Bond Sales

Posted on August 26th, 2026 at 1:37 PM
FINRA Orders WestPark Capital to Pay $520,000 Over GWG L Bond Sales

The fallout from the collapse of GWG Holdings continues to affect the broker-dealers that sold the company's illiquid L bonds.

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Ameriprise Broker Sues LPL-Affiliated Practice Over Use of "Kindred" Name

Posted on August 25th, 2026 at 1:37 PM
Ameriprise Broker Sues LPL-Affiliated Practice Over Use of

AdvisorHub reports that an Ameriprise Financial broker in Oklahoma has filed a trademark infringement lawsuit against an LPL Financial-affiliated practice over its use of the word "kindred" in its name.

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Sophisticated Voice Phishing Attacks Target Major Wall Street Firms

Posted on August 24th, 2026 at 1:22 PM
Sophisticated Voice Phishing Attacks Target Major Wall Street Firms

According to ThinkAdvisor, hackers recently launched a series of sophisticated cyberattacks against major Wall Street firms, including prominent hedge funds and private equity companies.

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Rising Market Leverage Raises Concerns About Financial Stability Despite Low Volatility

Posted on August 21st, 2026 at 3:53 PM
Rising Market Leverage Raises Concerns About Financial Stability Despite Low Volatility

The leverage that has helped drive the U.S.

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FinCEN Imposes Record $125 Million Penalty on UBS Financial Services

Posted on August 20th, 2026 at 12:44 PM
FinCEN Imposes Record $125 Million Penalty on UBS Financial Services

The Financial Crimes Enforcement Network (FinCEN) has imposed a $125 million civil money penalty against UBS Financial Services Inc.

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Former UBS Financial Advisor Suspended and Fined Over Unauthorized Trading Allegations

Posted on August 19th, 2026 at 12:44 PM
Former UBS Financial Advisor Suspended and Fined Over Unauthorized Trading Allegations

The Financial Industry Regulatory Authority (FINRA) suspended a former UBS Wealth Management USA broker for three months and fined him $10,000 after finding that he executed hundreds of trades in two customers' accounts without the required written authorization.

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FINRA Suspends Former Gradient Securities Advisor

Posted on August 19th, 2026 at 12:29 PM
FINRA Suspends Former Gradient Securities Advisor

The Financial Industry Regulatory Authority (FINRA) has suspended former Gradient Securities representative Mark J.

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Senior Protection Case Study: Edward Jones and Senior Investor Safeguards

Posted on August 18th, 2026 at 12:29 PM
Senior Protection Case Study: Edward Jones and Senior Investor Safeguards

A recent incident involving Edward Jones illustrates how challenging it may be to employ safeguards for protecting older clients from financial exploitation.

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LATEST NEWS AND ARTICLES

1787947445 Law
August 28, 2026
SEC Accuses Goliath Ventures of $425 Million Crypto Investment Ponzi Scheme

The Securities and Exchange Commission (SEC) has filed a civil complaint against Goliath Ventures Inc.

1787852053 Law
August 27, 2026
United Capital Revives Lawsuit Against Osaic

According to AdvisorHub, United Capital Financial Advisors has revived its lawsuit against independent broker-dealer Osaic by filing an amended complaint that reframes the dispute around the alleged misuse of confidential information obtained during Osaic's unsuccessful effort to acquire the firm.

1787765850 Law
August 26, 2026
FINRA Orders WestPark Capital to Pay $520,000 Over GWG L Bond Sales

The fallout from the collapse of GWG Holdings continues to affect the broker-dealers that sold the company's illiquid L bonds.