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Tagged with "Eccleston Law"

FINRA Bars Former Wedbush Broker Over $3.5 Million in Complex ETP Losses

Posted on October 26th, 2026 at 1:00 PM
FINRA Bars Former Wedbush Broker Over $3.5 Million in Complex ETP Losses

The Financial Industry Regulatory Authority (FINRA) barred former Wedbush Securities broker William H.

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FINRA Fines and Suspends Former LPL Broker Over Undisclosed Customer Settlement

Posted on October 21st, 2026 at 3:22 PM
FINRA Fines and Suspends Former LPL Broker Over Undisclosed Customer Settlement

The Financial Industry Regulatory Authority (FINRA) fined former LPL Financial broker Gregory W.

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FINRA Orders American Portfolios to Pay $1.6 Million Over Unit Investment Trust Supervision Failures

Posted on October 20th, 2026 at 3:06 PM
FINRA Orders American Portfolios to Pay $1.6 Million Over Unit Investment Trust Supervision Failures

The Financial Industry Regulatory Authority (FINRA) has ordered American Portfolios, the broker-dealer later absorbed into Osaic, to pay more than $1.6 million in restitution and fines over failures to supervise financial advisors who repeatedly recommended that customers sell unit investment trusts (UITs) before maturity.

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FINRA Bars Former LPL Broker Over Alleged $1.7 Million Customer Theft

Posted on October 19th, 2026 at 1:50 PM
FINRA Bars Former LPL Broker Over Alleged $1.7 Million Customer Theft

The Financial Industry Regulatory Authority (FINRA) has barred former LPL Financial broker Rudy Anguiano after finding that he converted more than $1.7 million from two customers, according to AdvisorHub.

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Ameriprise and Broker Ordered to Pay Edward Jones Nearly $4.8 Million in Trade Secrets Dispute

Posted on October 16th, 2026 at 11:36 AM
Ameriprise and Broker Ordered to Pay Edward Jones Nearly $4.8 Million in Trade Secrets Dispute

Ameriprise Financial and broker Cory J.

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SEC Warns Firms to Improve Private Asset Valuation and Disclosures

Posted on October 15th, 2026 at 12:50 PM
SEC Warns Firms to Improve Private Asset Valuation and Disclosures

The Securities and Exchange Commission (SEC) is pressing financial firms to take greater care when valuing private assets as liquidity tightens and investor redemption requests increase, according to AdvisorHub.

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FINRA Study Finds Advanced Investment Knowledge Does Not Eliminate Fraud Risk

Posted on October 14th, 2026 at 12:48 PM
FINRA Study Finds Advanced Investment Knowledge Does Not Eliminate Fraud Risk

Research using the FINRA Investor Education Foundation's 2024 National Financial Capability Study found that fewer than one in five investors with non-retirement investments demonstrate advanced investment literacy.

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LPL Financial Faces Investor Claims Tied to Former Broker's Outside Activities

Posted on October 13th, 2026 at 3:05 PM
LPL Financial Faces Investor Claims Tied to Former Broker's Outside Activities

LPL Financial faces at least nine pending investor claims involving former El Paso, Texas broker Michael C.

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SEC Targets Companies in Alleged $15 Million Social Media Investment Fraud Schemes

Posted on October 12th, 2026 at 11:21 AM
SEC Targets Companies in Alleged $15 Million Social Media Investment Fraud Schemes

The Securities and Exchange Commission (SEC) has charged entities behind two alleged investment fraud schemes that raised more than $15 million from investors through WhatsApp, Facebook and other online platforms.

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PIMCO Faces Heavy Losses on Philadelphia Office CMBS

Posted on October 9th, 2026 at 4:40 PM
PIMCO Faces Heavy Losses on Philadelphia Office CMBS

Pacific Investment Management Co.

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LATEST NEWS AND ARTICLES

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.

1793905109 Law
November 5, 2026
SEC to Expand Examination Focus on AI Oversight and Investment Adviser Compliance in 2027

The Securities and Exchange Commission (SEC) plans to scrutinize how investment advisers and other regulated firms use artificial intelligence, manage technology-related risks, and protect client information.