Eccleston Law: For Investors. For Advisors
About
Who We Are
Testimonials
Disclaimers
Attorneys
For Advisors
Broker Transition
Transition Contract Review
Employment Matters
State Registration Problems & Discipline
FINRA Matters
Promissory Note Matters
Team/Parnership Disputes
CFP Board Matters
FINRA Enforcement Matters
State Registration Problems & Discipline
Transition Contract Review
Broker Litigation & Arbitration
Employment Matters
Regulatory Matters
Strategic Consulting
Whistleblower Law
Promissory Note Matters
Compliance Protection
Lawyer Referral Network
Expungement of CRD/BrokerCheck Disclosures
For Investors
Securities Fraud
Breach of Fiduciary Duty
Retirement Planning Negligence
Unauthorized Trading
Lawyer Referral Network
News & Articles
News
Articles
Financial Counsel Blog
Videos
Newsletter Signup
Contact
Site Menu
About
Who We Are
Testimonials
Disclaimers
Attorneys
For Advisors
For Advisors: Overview
Broker Transition
Broker Transition Overview
Transition Contract Review
Employment Matters
State Registration Problems & Discipline
FINRA Matters
Promissory Note Matters
Team/Parnership Disputes
CFP Board Matters
FINRA Enforcement Matters
State Registration Problems & Discipline
Transition Contract Review
Broker Litigation & Arbitration
Employment Matters
Regulatory Matters
Strategic Consulting
Whistleblower Law
Promissory Note Matters
Compliance Protection
Lawyer Referral Network
Expungement of CRD/BrokerCheck Disclosures
For Investors
For Investors: Overview
Securities Fraud
Breach of Fiduciary Duty
Retirement Planning Negligence
Unauthorized Trading
Lawyer Referral Network
News & Articles
News
Articles
Financial Counsel Blog
Videos
Newsletter Signup
Contact

Tagged with "Eccleston Law Offices"

Next »
Page 1 of 4

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).

Read More »

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.

Read More »

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.

Read More »

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.

Read More »

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.

Read More »

Gray Financial Group Charged With Defrauding Public Pension Fund

Posted on June 3rd, 2015 at 3:36 PM
Gray Financial Group Charged With Defrauding Public Pension Fund

The SEC charges that Gray Financial Group has breached its fiduciary duty by steering pension fund clients in the city of Atlanta to invest in products owned by the company. The firm profited handsomely after it convinced four pension fund plans to invest over $80 million in funds owned by the company. 

Read More »

Indiana Investment Advisory Firm Charged with Investment Fraud

Posted on June 2nd, 2015 at 11:46 AM
Indiana Investment Advisory Firm Charged with Investment Fraud

Veros Partners, its president Michael Haab and associates Jeffery Risinger and Tobin Senefeld have been charged by the SEC for allegedly running a $15 million Ponzi scheme.

Read More »

Morgan Stanley Sues Ex-Advisor for Altering Records (LINK)

Posted on May 18th, 2015 at 12:58 PM
Morgan Stanley Sues Ex-Advisor for Altering Records (LINK)

Jim Eccleston was quoted in a FundFire article about his involvement with the Morgan Stanley trial. The full article is availible on FundFire's website. 

Read More »

Ex-Morgan Stanley Broker Won’t Have to Return $519,000

Posted on May 13th, 2015 at 4:06 PM
Ex-Morgan Stanley Broker Won’t  Have to Return $519,000

Firm paid him a signing bonus of $866,400 in the form a forgivable loan

over a nine-year period

Read More »

Finra arbitration panel awards $500,000 to former Morgan Stanley rep

Posted on May 12th, 2015 at 11:25 AM
Finra arbitration panel awards $500,000 to former Morgan Stanley rep

A Finra arbitration panel last Thursday decided in favor of a former Morgan Stanley rep following a dispute between the broker and firm over an alleged breach of a promissory note.

Read More »

Next »
Page 1 of 4
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
Read More »
Share

Request a Free Consultation

Attorneys are standing by during regular business hours. Call us now for immediate service, or complete the form below and we will contact you as soon as possible.

Your E-mail Address:
 
Chicago
55 West Monroe St.
Suite 610
Chicago, Illinois 60603
(312) 332-0000
(312) 332-0003
New York City
One Liberty Plaza
165 Broadway, 23rd Floor
New York, New York 10006
(212) 203-9169
(312) 332-0003
Boca Raton
2255 Glades Road
Suite 324A
Boca Raton, Florida 33431
(312) 332-0000
(312) 332-0003
2019 © Eccleston Law, LLC.
All Rights Reserved.
The law is continuously changing. Please do not rely on information found on this site without consulting a lawyer to determine if any recent changes in the law may have an impact.