Tagged with "Eccleston Law Offices"

SEC Announces 2021 Examination Priorities

Posted on March 4th, 2021 at 2:29 PM
SEC Announces 2021 Examination Priorities

The SEC’s Division of Examinations has announced its 2021 examination priorities. The 2021 examination priorities reflect the complicated, diverse, and evolving nature of investors' risks and the markets. Here are the highlights.

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FINRA Suspends Former LPL Financial Advisor for Outside Business Activity

Posted on October 8th, 2020 at 2:46 PM
FINRA Suspends Former LPL Financial Advisor for Outside Business Activity

Former LPL Financial advisor Tracy M. Meade agreed to pay a $5,000 fine and serve a 2-month suspension from association with any FINRA member firm in all capacities.

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Christopher Burns, Atlanta-Area Financial Advisor, Reported Missing

Posted on October 7th, 2020 at 12:17 PM
Christopher Burns, Atlanta-Area Financial Advisor, Reported Missing

A missing persons report has been filed for Christopher W. Burns, a financial advisor in Atlanta.

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REIT Managed by AR Global Sees Steep Decline in Value

Posted on October 6th, 2020 at 12:14 PM
REIT Managed by AR Global Sees Steep Decline in Value

New York City REIT Inc. (the “NYC REIT”) has seen a sharp decline in share price over the last couple of months. The NYC REIT, which was started in 2013, had an offering price of $25 when it was first listed on the Nasdaq in August

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Former Compliance Officer Settles Charges Brought by SEC

Posted on October 2nd, 2020 at 9:31 AM
Former Compliance Officer Settles Charges Brought by SEC

Meredith A. Simmons, former hedge fund chief compliance officer, settled charges brought by the U.S. Securities and Exchange Commission (“SEC”) that she withheld a compliance record during an SEC examination.

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CFTC and State Regulators File Suit against Metals.com

Posted on September 28th, 2020 at 3:11 PM
CFTC and State Regulators File Suit against Metals.com

On September 22, 2020, the Commodity Futures Trading Commission (“CFTC”) along with state regulators from 30 states filed a civil action against TMTE Inc., doing business as Metals.com, along with Barrick Capital and Barrick’s principals Lucas Asher and Simon Batashvili.

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Firms Required to Hyperlink to FINRA’s BrokerCheck Next Year

Posted on December 24th, 2015 at 3:16 PM

In FINRA Regulatory Notice 15-50 issued on December 7th, FINRA announced that the SEC approved amendments to FINRA Rule 2210 (Communications with the Public).

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Puerto Rico’s Uncertain Future Leaves Investors in Limbo

Posted on August 14th, 2015 at 12:55 PM
Puerto Rico’s Uncertain Future Leaves Investors in Limbo

After Puerto Rico slipped into default status on their $72 billion debt, U.S. municipal bond fund investors were left exposed to a crumbling financial situation.

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Financial Service Firms Engage in Raiding Suit

Posted on August 13th, 2015 at 2:08 PM
Financial Service Firms Engage in Raiding Suit

Two large financial services firms have entered a heated dispute over the poaching of 60 brokers.

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Former Broker Accused of Selling Unregistered Securities

Posted on June 5th, 2015 at 8:29 AM
Former Broker Accused of Selling Unregistered Securities

The Connecticut Department of Banking has alleged that former registered broker James Neilsen sold unregistered securities.

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TESTIMONIALS

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Hiring Eccleston Law has been one of the best career decisions I have made and this "investment" to maintain my sterling regulatory record has been returned many times over.  If you are in a situation where you've been unfairly accused, don't hesitate to talk with Eccleston Law. They are the best.

Thomas C.

LATEST NEWS AND ARTICLES

September 23, 2022
CFP Board Lifts Interim Suspension of Former UBS Advisor

The Certified Financial Planner Board of Standards (CFP Board) has lifted an interim suspension it had imposed against a former UBS advisor after criminal fraud charges against him were recently dismissed.

September 22, 2022
FINRA Penalizes Baird Over $100 Trading Commissions

The Financial Industry Regulatory Authority (FINRA) has ordered Robert W. Baird & Co. to pay $461,481 plus interest due to allegations that the firm overcharged its clients on thousands of equity transactions for at least one year.

September 21, 2022
FINRA Arbitrators Award Nearly $470,000 To Investors in UBS YES Product

A Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered UBS to pay nearly $470,000 to clients who invested in a complex options strategy, known as the YES or Yield Enhancement Strategy.