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).
Tagged with "Eccleston Law Offices"
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Firms Required to Hyperlink to FINRA’s BrokerCheck Next Year
Posted on December 24th, 2015 at 3:16 PM
Puerto Rico’s Uncertain Future Leaves Investors in Limbo
Posted on August 14th, 2015 at 12:55 PM
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.
Financial Service Firms Engage in Raiding Suit
Posted on August 13th, 2015 at 2:08 PM
Two large financial services firms have entered a heated dispute over the poaching of 60 brokers.
Former Broker Accused of Selling Unregistered Securities
Posted on June 5th, 2015 at 8:29 AM
The Connecticut Department of Banking has alleged that former registered broker James Neilsen sold unregistered securities.
Re-Proposed FINRA Rule Would Require Brokerage Firms to Disclose Recruitment Practices
Posted on June 4th, 2015 at 11:42 AM
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.
Gray Financial Group Charged With Defrauding Public Pension Fund
Posted on June 3rd, 2015 at 3:36 PM
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.
Indiana Investment Advisory Firm Charged with Investment Fraud
Posted on June 2nd, 2015 at 11:46 AM
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.
Morgan Stanley Sues Ex-Advisor for Altering Records (LINK)
Posted on May 18th, 2015 at 12:58 PM
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.
Ex-Morgan Stanley Broker Won’t Have to Return $519,000
Posted on May 13th, 2015 at 4:06 PM
Firm paid him a signing bonus of $866,400 in the form a forgivable loan
over a nine-year period
Finra arbitration panel awards $500,000 to former Morgan Stanley rep
Posted on May 12th, 2015 at 11:25 AM
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.
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