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Tagged with "Eccleston Law Offices"

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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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Re-Proposed FINRA Rule Would Require Brokerage Firms to Disclose Recruitment Practices

Posted on June 4th, 2015 at 11:42 AM
Re-Proposed FINRA Rule Would Require Brokerage Firms to Disclose Recruitment  Practices

FINRA has re-proposed a rule that would require brokerage firms to inform clients of their recruitment practices. If the proposed rule is enacted, brokerage firms would be required to send a disclosure to clients after luring brokers away from competitors with large pay packages.

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Page 1 of 5
Latest Articles
Morgan Stanley Files Lawsuit Against $6 Million Team
January 14th, 2021 at 3:57 PM
FINRA Proposes Rule to Regulate “Restricted” Firms
January 13th, 2021 at 4:05 PM
Read More »
Latest News
CFP Board is the New Sheriff and it Is Not Your Friend
October 24th, 2020 at 10:04 AM
Defending Against a Customer Complaint First Requires Selecting Correct Legal Counsel
October 15th, 2020 at 10:02 AM
Read More »
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