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Tagged with "Eccleston Law"

SEC Issues Long-Awaited Guidance on Digital Assets

Posted on April 13th, 2026 at 11:40 AM
SEC Issues Long-Awaited Guidance on Digital Assets

The SEC released guidance clarifying how federal securities laws apply to digital assets, a major step toward resolving crypto regulatory uncertainty.

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FINRA Charges Former Pruco Securities Broker With Forging Annuity Applications to Generate Commissions

Posted on April 10th, 2026 at 12:10 PM
FINRA Charges Former Pruco Securities Broker With Forging Annuity Applications to Generate Commissions

The Financial Industry Regulatory Authority (FINRA) has filed a complaint against former Pruco Securities broker Avinesh Shankar, accusing him of forging customer signatures on dozens of annuity applications in order to collect advance commissions.

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Private Credit Funds Face Liquidity Strain as Redemption Requests Surge

Posted on April 9th, 2026 at 12:25 PM
Private Credit Funds Face Liquidity Strain as Redemption Requests Surge

Investor demand for liquidity has intensified across the private credit market, leaving billions in capital temporarily inaccessible due to withdrawal restrictions, according to AdvisorHub.

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FinCEN Imposes $80 Million Penalty on Canaccord for AML Failures

Posted on April 8th, 2026 at 1:45 PM
FinCEN Imposes $80 Million Penalty on Canaccord for AML Failures

FinCEN imposed an $80 million civil penalty on Canaccord Genuity for Bank Secrecy Act violations, the largest such action against a broker-dealer.

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SEC Charges Long Island RIA and Executives in $138 Million Private Fund Scheme

Posted on April 7th, 2026 at 11:13 AM
SEC Charges Long Island RIA and Executives in $138 Million Private Fund Scheme

A Long Island-based registered investment adviser and two of its senior executives now face parallel civil and criminal proceedings tied to an alleged scheme involving conflicted private fund investments, as reported by InvestmentNews.

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FINRA Arbitration Panel Orders Fidelity to Pay $1.3 Million Over Structured Product Disputes

Posted on April 6th, 2026 at 1:28 PM
FINRA Arbitration Panel Orders Fidelity to Pay $1.3 Million Over Structured Product Disputes

A Financial Industry Regulatory (FINRA) arbitration panel has ordered Fidelity Brokerage Services to pay approximately $1.3 million to two groups of clients who alleged misconduct tied to structured product investments, according to ThinkAdvisor.

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FINRA Enforcement Trends Show Higher Monetary Sanctions Despite Fewer Cases in 2025

Posted on April 3rd, 2026 at 5:57 PM
FINRA Enforcement Trends Show Higher Monetary Sanctions Despite Fewer Cases in 2025

The Financial Industry Regulatory Authority (FINRA) increased total monetary sanctions in 2025, even as the number of enforcement actions declined.

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Florida FINRA Arbitration Panel Orders Charles Schwab to Pay $3.8 Million to Investors

Posted on April 1st, 2026 at 12:28 PM
Florida FINRA Arbitration Panel Orders Charles Schwab to Pay $3.8 Million to Investors

A Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered Charles Schwab & Co.

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Cybersecurity Breach at Edelman Financial Engines Highlights Growing Risks for Advisory Firms

Posted on March 31st, 2026 at 12:13 PM
Cybersecurity Breach at Edelman Financial Engines Highlights Growing Risks for Advisory Firms

A recent cybersecurity incident involving Edelman Financial Engines has drawn attention to the increasing number of cyberattacks targeting registered investment advisers, according to Financial Advisor News.

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SEC and CFTC Plan Coordinated Examinations and Enforcement Efforts

Posted on March 30th, 2026 at 11:28 AM
SEC and CFTC Plan Coordinated Examinations and Enforcement Efforts

The Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) plan to coordinate examinations and enforcement actions involving firms that fall under both agencies' jurisdiction, signaling a renewed effort to streamline regulatory oversight, according to AdvisorHub.

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TESTIMONIALS

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Jim, Stephany and the whole team were a God send.  We felt like we were put into a situation where we had no advocate. Jim’s team came in with a strong, well laid out strategy on how to get our story heard. Where our outside compliance company had no ability to help, our Broker Dealer was impenitent, and the regulators were aggressive pursuing vague rules, Jim came like a barricade against an assault we did not understand. Though you pay member dues to be affiliated with FINRA and a B/D, you have no voice. The only thing that is truly heard in this un-level playing field is a bulldog’s bark like Jim’s. I would encourage anyone to call Jim and his team to find a real ally in the tough and complicated world of securities regulation. They are truly the best.

Greg P.

LATEST NEWS AND ARTICLES

1794338007 Law
November 10, 2026
SEC Accuses Crypto Investment Scheme of Raising $130 Million Through Fake Approval Claims

The SEC has charged two entities with operating a cryptocurrency investment scheme that raised more than $130 million from tens of thousands of retail investors.

1794251609 Law
November 9, 2026
Court Restrains Former Citizens Advisor From Using His Memory to Recreate Customer Names in Transition to Ameriprise

A federal judge in Boston has temporarily barred former Citizens Securities advisor Darrell Smith from using client names he recalled from memory to contact former customers after moving to Ameriprise Financial.

1793987008 Law
November 6, 2026
CoreWeave Bonds Slide as Political Opposition to Data-Center Expansion Grows

CoreWeave's debt and stock price fell on November 4th as election victories by Democratic candidates opposing rapid data-center development raised concerns about the regulatory environment facing AI infrastructure companies.