Tagged with "Eccleston Law"

Next Level Holdings and Yield Wealth Under Federal and State Investigation

Posted on January 3rd, 2025 at 12:06 PM
Next Level Holdings and Yield Wealth Under Federal and State Investigation

Federal and state authorities are investigating Next Level Holdings and Yield Wealth, two investment firms accused of offering high-yield financial products now facing significant turmoil, according to the Wall Street Journal

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James Eccleston Named 2025 Preeminent Attorney

Posted on January 2nd, 2025 at 4:10 PM
James Eccleston Named 2025 Preeminent Attorney

James Eccleston has been awarded the highest possible rating in legal ability by Martindale-Hubbell. 

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Goldman Sachs Launches First-of-its-Kind Bond Securitization

Posted on January 2nd, 2025 at 11:40 AM
Goldman Sachs Launches First-of-its-Kind Bond Securitization

Goldman Sachs recently introduced a $475 million asset-backed securitization (ABS) deal backed by capital-call loans, a type of financing Goldman provides to fund managers for immediate capital access.

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James Eccleston Named Leading Lawyer for 2025

Posted on January 2nd, 2025 at 11:00 AM
James Eccleston Named Leading Lawyer for 2025

James Eccleston has been officially recognized by peers as a Leading Lawyer for 2025!

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Understanding Alternative Investments and Risk Management

Posted on December 23rd, 2024 at 3:13 PM
Understanding Alternative Investments and Risk Management

Alternative investments once again are gaining traction, according to a recent article in InvestmentNews

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FINRA Sanctions Over 60 Advisors for Continuing Education Violations

Posted on December 20th, 2024 at 5:17 PM
FINRA Sanctions Over 60 Advisors for Continuing Education Violations

FINRA has disciplined 62 advisors for cheating on New York’s continuing education (CE) requirements tied to insurance license renewals. 

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GPB Capital Investors See Progress as Court Confirms Receivership

Posted on December 19th, 2024 at 1:08 PM
GPB Capital Investors See Progress as Court Confirms Receivership

In a significant development for investors in GPB Capital Holdings, the private equity firm will move into receivership following a prolonged legal battle.

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SEC Fines Cantor Fitzgerald $6.75 Million for Misleading SPAC Investors

Posted on December 18th, 2024 at 10:53 AM
SEC Fines Cantor Fitzgerald $6.75 Million for Misleading SPAC Investors

The Securities and Exchange Commission (SEC) has charged Cantor Fitzgerald, L.P. with causing two special purpose acquisition companies (SPACs) under its control to make misleading statements to investors before their initial public offerings (IPOs). 

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Former Western Asset Management Co-CIO Charged with Fraud for Cherry-picking Trades

Posted on December 17th, 2024 at 10:58 AM
Former Western Asset Management Co-CIO Charged with Fraud for Cherry-picking Trades

The SEC recently charged Ken Leech, former Co-CIO of Western Asset Management, with fraud. 

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Wells Fargo Advisors Tightens Rules on FiNet Advisors' Outside Investments

Posted on December 16th, 2024 at 11:22 AM
Wells Fargo Advisors Tightens Rules on FiNet Advisors' Outside Investments

Wells Fargo Advisors has introduced a new policy requiring advisors in its Financial Network (FiNet) channel to seek company approval before accepting certain outside investments. 

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TESTIMONIALS

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Hiring Eccleston Law has been one of the best career decisions I have made and this "investment" to maintain my sterling regulatory record has been returned many times over.  If you are in a situation where you've been unfairly accused, don't hesitate to talk with Eccleston Law. They are the best.

Thomas C.

LATEST NEWS AND ARTICLES

February 6, 2026
Delaware Regulators Fine Kovack Advisors $985,000

Kovack Advisors Inc., the registered investment adviser affiliate of independent broker-dealer Kovack Securities Inc., agreed to pay a $985,000 fine to Delaware securities regulators.

February 5, 2026
FINRA Fines Broker-Dealer for Repeated Form CRS Disclosure Failures

The Financial Industry Regulatory Authority (FINRA) fined VSI Securities Inc., formerly known as Venecredit Securities Inc., $20,000 for failing to accurately disclose the firm’s disciplinary history in its customer relationship summary, known as Form CRS.

February 4, 2026
Investor Redemptions Rise in Nontraded BDCs Amid Credit Concerns

Financial advisors and their clients have increased redemptions from nontraded business development companies (BDCs) following a series of high-profile corporate bankruptcies, according to InvestmentNews. The surge highlights growing investor concern about liquidity and credit exposure within these high-yield but often risky investment ...