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Tagged with "Eccleston Law"

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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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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