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Tagged with "Eccleston Law LLC"

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Page 1 of 92

FINRA Arbitration Panel Dismissed TRO Against Former Edward Jones Broker

Posted on December 12th, 2019 at 2:13 PM
FINRA Arbitration Panel Dismissed TRO Against Former Edward Jones Broker

The Financial Industry Regulatory Authority (“FINRA”) arbitration panel recently dismissed a temporary restraining order (“TRO”) against a former Edward Jones broker who initially agreed to the TRO prohibiting him from telling customers about his move to Ameriprise.

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SEC Bars Ex Securities America Rep For $1 Billion Ponzi Scheme

Posted on December 11th, 2019 at 5:06 PM
SEC Bars Ex Securities America Rep For $1 Billion Ponzi Scheme

The U.S. Securities and Exchange Commission ("SEC") has barred former Securities America broker and certified public accountant for his role in a Ponzi scheme that defrauded investors of about $1 billion.

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FINRA Suspends Representative for Cell Phone Access During Exam

Posted on December 9th, 2019 at 10:22 AM
FINRA Suspends Representative for Cell Phone Access During Exam

The Financial Industry Regulatory Authority (“FINRA”) suspended and fined Yasmin Bashirova, a Goldman Sachs investment banking representative for bringing a cell phone to her Securities Industry Essentials (“SIE”) Exam in April of 2019.

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Final Defendant in Ponzi-Like Fraud Case Sentenced to 2 Years in Prison

Posted on December 6th, 2019 at 11:34 AM
Final Defendant in Ponzi-Like Fraud Case Sentenced to 2 Years in Prison

Cameron R. Jezierski is the last of three alleged perpetrators to be sentenced in a criminal case parallel to a 2018 SEC complaint regarding a $345 million Ponzi scheme that defrauded over 230 investors across the country.

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International Investment Group LLC Registration Revoked by SEC Following $60 Million Fraud

Posted on December 5th, 2019 at 12:07 PM
International Investment Group LLC Registration Revoked by SEC Following $60 Million Fraud

According to a November 26th press release, the Securities and Exchange Commission (“SEC”) has revoked the registration of investment adviser International Investment Group LLC (“IIG”), following charges of “securities fraud for hiding losses in its flagship hedge fund and selling at least $60 million in fake loan assets to clients.”

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Illinois Federal Court Fraud Hearing Ends in $1.8 Million Judgment in Favor of SEC

Posted on December 4th, 2019 at 5:24 PM
Illinois Federal Court Fraud Hearing Ends in $1.8 Million Judgment in Favor of SEC

According to the Securities and Exchange Commission (“SEC”), on November 12th, 2019, a final judgment was entered in Illinois federal court against an investment adviser charged with “fraud for misappropriating client assets and misrepresenting the value of 15 unregistered advisors.”

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SEC Provides Guidance on Form CRS Delivery Requirements and Formatting

Posted on December 3rd, 2019 at 1:52 PM
SEC Provides Guidance on Form CRS Delivery Requirements and Formatting

On November 26, 2019, the Securities and Exchange Commission (“SEC”) published an FAQ regarding Form CRS (a.k.a. “relationship summary”), prepared by the staff of the Division of Investment Management and the Division of Trading and Markets.   In the FAQ, the SEC specifies that the responses represent the views of the staff of the Division of Investment Management and the Division of Trading and Markets, and should not be construed as a rule, regulation, or statement of the SEC.  The SEC further specifies that the FAQ was neither approved nor disapproved by the SEC, and the FAQ has no legal force or effect.

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Equity Crowdfunding on the Rise

Posted on December 2nd, 2019 at 5:11 PM
Equity Crowdfunding on the Rise

Equity crowdfunding, though a relatively new practice, is becoming a viable option for investors. The SEC estimates that 1,351 equity crowdfunding offerings have taken place between 2016 and 2018, raising over $107 million in the United States. From 2017 to 2018, the number of investors participating in equity crowdfunding nearly doubled.

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Court Denies Edward Jones's Restraining Order Against Former Broker

Posted on November 21st, 2019 at 1:49 PM
Court Denies Edward Jones's Restraining Order Against Former Broker

An Indianapolis federal court has denied a motion by Edward Jones for a temporary restraining order ("TRO") against a former broker who joined a competing firm.

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SEC Files Action to Stop $6 Million Ponzi Scheme Targeting Seniors in Florida

Posted on November 20th, 2019 at 2:03 PM
SEC Files Action to Stop $6 Million Ponzi Scheme Targeting Seniors in Florida

The Securities and Exchange Commission ("SEC") has filed an emergency action and obtained a temporary restraining order and asset freeze against two Florida men and the two companies they control in connection with an alleged $6 million Ponzi scheme that has defrauded at least 55 investors, many of whom are senior citizens.

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Page 1 of 92
Latest Articles
FINRA Arbitration Panel Dismissed TRO Against Former Edward Jones Broker
December 12th, 2019 at 2:13 PM
SEC Bars Ex Securities America Rep For $1 Billion Ponzi Scheme
December 11th, 2019 at 5:06 PM
Read More »
Latest News
James Eccleston Selected Super Lawyer for 2019
September 20th, 2019 at 2:33 PM
James Eccleston Achieves Highest Rating in Both Legal Ability and Ethical Standards for 2019
September 18th, 2019 at 6:15 PM
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