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Tagged with "Eccleston Law"

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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Red Flags to Watch for in Pre-IPO Investment Scams

Posted on September 28th, 2026 at 1:18 PM
Red Flags to Watch for in Pre-IPO Investment Scams

Investors considering pre-IPO investments should watch for common warning signs of fraud, according to the Securities and Exchange Commission (SEC).

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SEC Bars Advisor for Unauthorized Trades and Client Data Misuse

Posted on September 25th, 2026 at 1:04 PM
SEC Bars Advisor for Unauthorized Trades and Client Data Misuse

A California-based investment adviser has agreed to a three-year industry bar and $266,000 in monetary sanctions after the Securities and Exchange Commission (SEC) accused him of making unauthorized trades, transferring confidential client information to a newly launched registered investment adviser, and concealing his termination from a former firm.

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TESTIMONIALS

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We just wanted to say thanks for your work in helping us get back some of the money we lost. We are not by any means rich, but we have saved some money and we have done so through a tight-fisted approach to most everything we do. So losing a significant chunk of money hurt…especially at a time when everyone else was growing their accounts. We really appreciate the work you did.

Allan and Adele

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.