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Tagged with "Eccleston Law"

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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Delaware Life Faces Proposed Class Action Over Alleged Private Credit Disclosures

Posted on October 8th, 2026 at 12:40 PM
Delaware Life Faces Proposed Class Action Over Alleged Private Credit Disclosures

A Florida investor has filed a proposed class action against Delaware Life Insurance Co.

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SEC Charges Investment Fund Operators in Alleged $8.7 Million Fraud Scheme

Posted on October 7th, 2026 at 12:26 PM
SEC Charges Investment Fund Operators in Alleged $8.7 Million Fraud Scheme

The Securities and Exchange Commission (SEC) has charged Christopher Kenji Dinelli and Jacob David "Kobe" Frankel with allegedly defrauding 35 investors of more than $8.7 million through Beyond Alpha Ventures LLC and investment advisory firm Beyond Equity LLC.

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House Passes Bill to Restore Tax Deduction for Financial Fraud Victims

Posted on October 5th, 2026 at 1:10 PM
House Passes Bill to Restore Tax Deduction for Financial Fraud Victims

Victims of financial fraud may soon receive additional tax relief under legislation that overwhelmingly passed in the House of Representatives.

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FINRA Arbitrators Award Schwab Client $1.34 Million in Cryptocurrency Scam Dispute

Posted on October 2nd, 2026 at 12:57 PM
FINRA Arbitrators Award Schwab Client $1.34 Million in Cryptocurrency Scam Dispute

A Financial Industry Regulatory Authority (FINRA) Dispute Resolution Services arbitration panel awarded nearly $1.34 million in compensatory damages to a Charles Schwab & Co.

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Prosecutors Target Multimillion-Dollar Investment Schemes Involving Promissory Notes

Posted on October 1st, 2026 at 11:13 AM
Prosecutors Target Multimillion-Dollar Investment Schemes Involving Promissory Notes

Federal prosecutors recently pursued two investment fraud cases involving promissory notes that caused combined investor losses exceeding $25 million.

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SEC Approves FINRA Overhaul of Outside Business Activity Rules

Posted on September 30th, 2026 at 1:28 PM
SEC Approves FINRA Overhaul of Outside Business Activity Rules

The Securities and Exchange Commission (SEC) has approved FINRA's long-awaited overhaul of the rules governing outside business activities and private securities transactions by financial advisors.

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Texas Investment Adviser Sentenced to 11 Years for $35 Million Ponzi Scheme

Posted on September 29th, 2026 at 12:47 PM
Texas Investment Adviser Sentenced to 11 Years for $35 Million Ponzi Scheme

A federal judge has sentenced Siddharth Jawahar, who operated Texas-based investment adviser Swiftarc Capital, to 11 years in prison for running a $35 million Ponzi scheme.

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LATEST NEWS AND ARTICLES

1793294906 Law
October 29, 2026
FINRA Bars Former LPL Financial Broker for Refusing to Cooperate With Investigation

?The Financial Industry Regulatory Authority (FINRA?) barred Buddy Dean Mason, a former LPL Financial broker in Lakeland, Florida, after he refused to provide documents and information during an investigation into a customer complaint involving an alleged outside investment.

1793209405 Law
October 28, 2026
FINRA Panel Orders Kingswood Capital Partners and Executives to Pay Former Advisor $11.3 Million

A Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered Kingswood Capital Partners LLC, CEO Michael Nessim, and Chief Compliance Officer Mohamed Alsoraimi to pay former advisor Rikin Patel $11,341,369.25.

1793123026 Law
October 27, 2026
CFTC Seeks Public Comment on Proposed Crypto Asset Regulatory Framework

The Commodity Futures Trading Commission (CFTC) has issued an Advanced Notice of Proposed Rulemaking (ANPRM) seeking public comment on a potential regulatory framework for retail commodity transactions involving crypto assets, which the agency calls "CTXs." According to the CFTC's press release, the initiative focuses on Section 2(c)(2)(D) of th...