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Tagged with "Eccleston Law"

FINRA Suspends Former Stifel Rep for Undisclosed Customer Settlements

Posted on June 19th, 2026 at 2:25 PM
FINRA Suspends Former Stifel Rep for Undisclosed Customer Settlements

The Financial Industry Regulatory Authority (FINRA) has suspended a former Stifel representative for three months and imposed a $10,000 fine after finding that she settled customer complaints without notifying her firm and conducted securities-related communications through an unapproved personal device.

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Silver Star Properties REIT Files for Chapter 11 Bankruptcy Amid Mounting Defaults and Investor Losses

Posted on June 18th, 2026 at 11:55 AM
Silver Star Properties REIT Files for Chapter 11 Bankruptcy Amid Mounting Defaults and Investor Losses

Silver Star Properties REIT, a publicly registered nontraded real estate investment trust formerly known as Hartman Short Term Income Properties XX Inc., has filed for Chapter 11 bankruptcy protection, according to reports by AltsWire.

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As Wealth Management Consolidation Accelerates, Some Advisors Reevaluate the Meaning of Independence

Posted on June 17th, 2026 at 12:10 PM
As Wealth Management Consolidation Accelerates, Some Advisors Reevaluate the Meaning of Independence

According to AdvisorHub, the independent wealth management industry has entered a new phase of evolution, prompting some advisors to question whether the firms that once championed independence now increasingly resemble the traditional institutions many advisors left behind.

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Cetera Hit With Class Action Lawsuit Over Cash Sweep Program

Posted on June 16th, 2026 at 3:39 PM
Cetera Hit With Class Action Lawsuit Over Cash Sweep Program

A proposed class action lawsuit has accused Cetera Financial Group and Cetera Investment Services of improperly profiting from customer cash held in the firms' FlexInsured Account Program, according to a report by ThinkAdvisor.

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New York Insurance Agent Pleads Guilty to $50 Million Ponzi Scheme

Posted on June 15th, 2026 at 12:08 PM
New York Insurance Agent Pleads Guilty to $50 Million Ponzi Scheme

A New York insurance agent and tax preparer has pleaded guilty to operating a Ponzi scheme that allegedly defrauded nearly 1,000 investors out of more than $50 million over several decades, according to a report by InvestmentNews.

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FINRA Suspends Former LPL Broker Over Undisclosed Outside Business Activity

Posted on June 12th, 2026 at 11:53 AM
FINRA Suspends Former LPL Broker Over Undisclosed Outside Business Activity

The Financial Industry Regulatory Authority (FINRA) has imposed a $5,000 fine and a 45-day suspension against former LPL Financial broker James R.

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FINRA Suspends Former Raymond James Representative for Improper Account Conversions and Unauthorized Trading

Posted on June 11th, 2026 at 12:23 PM
FINRA Suspends Former Raymond James Representative for Improper Account Conversions and Unauthorized Trading

The Financial Industry Regulatory Authority (FINRA) sanctioned Paul D.

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Ameriprise Reports Second Data Breach in Less Than Six Months

Posted on June 10th, 2026 at 11:38 AM
Ameriprise Reports Second Data Breach in Less Than Six Months

Ameriprise Financial recently disclosed another data breach, marking the second cybersecurity incident involving the firm in less than six months.

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FINRA Arbitration Panel Orders &Partners and Broker to Pay Wells Fargo $1.25 Million

Posted on June 9th, 2026 at 2:04 PM
FINRA Arbitration Panel Orders &Partners and Broker to Pay Wells Fargo $1.25 Million

A Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered &Partners and broker David M.

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FINRA Sanctions Oppenheimer for Misclassified Client Statements Involving CMOs

Posted on June 8th, 2026 at 1:34 PM
FINRA Sanctions Oppenheimer for Misclassified Client Statements Involving CMOs

The Financial Industry Regulatory Authority (FINRA) has fined and censured Oppenheimer & Co.

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LATEST NEWS AND ARTICLES

1781893504 Law
June 19, 2026
FINRA Suspends Former Stifel Rep for Undisclosed Customer Settlements

The Financial Industry Regulatory Authority (FINRA) has suspended a former Stifel representative for three months and imposed a $10,000 fine after finding that she settled customer complaints without notifying her firm and conducted securities-related communications through an unapproved personal device.

1781798110 Law
June 18, 2026
Silver Star Properties REIT Files for Chapter 11 Bankruptcy Amid Mounting Defaults and Investor Losses

Silver Star Properties REIT, a publicly registered nontraded real estate investment trust formerly known as Hartman Short Term Income Properties XX Inc., has filed for Chapter 11 bankruptcy protection, according to reports by AltsWire.

1781712614 Law
June 17, 2026
As Wealth Management Consolidation Accelerates, Some Advisors Reevaluate the Meaning of Independence

According to AdvisorHub, the independent wealth management industry has entered a new phase of evolution, prompting some advisors to question whether the firms that once championed independence now increasingly resemble the traditional institutions many advisors left behind.