Tagged with "Eccleston Law"

SEC's Private Fund Advisers Rules

Posted on August 2nd, 2024 at 10:07 AM
SEC's Private Fund Advisers Rules

The Securities and Exchange Commission (SEC) is tightening the regulatory framework for Registered Investment Advisers (RIAs) with the implementation of the Private Fund Advisers Rules, set to fully take effect by early 2025.

Read More »

SEC Charges Silvergate Capital and Executives with Misleading Investors

Posted on August 1st, 2024 at 11:59 AM
SEC Charges Silvergate Capital and Executives with Misleading Investors

The Securities and Exchange Commission (SEC) has filed a complaint against Silvergate Capital Corporation and three former executives, alleging they misled investors about the strength of Silvergate Bank’s Bank Secrecy Act/Anti-Money Laundering compliance program and the monitoring of crypto customers, including the collapsed FTX.

Read More »

Clients Sue Charles Schwab and Hightower Advisors Over $1 Million Fraud

Posted on July 31st, 2024 at 10:15 AM
Clients Sue Charles Schwab and Hightower Advisors Over $1 Million Fraud

Clients are suing Charles Schwab & Co. and Hightower Advisors after fraudsters allegedly stole nearly $1 million from their retirement accounts and turned off electronic notifications that could have alerted them.

Read More »

Tech Drip Hits Leveraged ETFs Hard, Highlighting Investment Risks

Posted on July 30th, 2024 at 11:09 AM
Tech Drip Hits Leveraged ETFs Hard, Highlighting Investment Risks

Recent AI-driven rallies in tech stocks have encouraged investors to buy the dip, but this strategy has backfired for those using leveraged exchange-traded funds (ETFs) to amplify returns.

Read More »

Why Financial Advisors Should Embrace a Niche Market

Posted on July 29th, 2024 at 8:50 AM
Why Financial Advisors Should Embrace a Niche Market

FinancialPlanning recently discussed how focusing on a niche can accelerate growth, especially when advisors promote their focus across all mediums, including websites, social media, and branding.



Read More »

Kentucky Advisor Sues LPL Financial for Alleged Corporate Raid

Posted on July 26th, 2024 at 9:01 AM
Kentucky Advisor Sues LPL Financial for Alleged Corporate Raid

A Kentucky advisor, Mark Lamkin, has filed a lawsuit against LPL Financial, claiming the independent broker-dealer orchestrated a corporate raid that resulted in the loss of his firm’s entire book of managed assets.

Read More »

FINRA Plans Fee Increases Amid Rising Costs and Losses

Posted on July 25th, 2024 at 10:51 AM
FINRA Plans Fee Increases Amid Rising Costs and Losses

The Financial Industry Regulatory Authority (FINRA) has announced plans to raise fees for its approximately 3,300 broker-dealer member firms. According to AdvisorHub, the self-regulator faces soaring costs, as detailed in its annual report published at the end of June.

Read More »

Raymond James Settles with Oregon Over Excessive Commissions

Posted on July 24th, 2024 at 1:36 PM
Raymond James Settles with Oregon Over Excessive Commissions

Raymond James recently settled a case with Oregon's Division of Financial Regulation (“DFR”), agreeing to pay nearly $200,000 over allegations of charging excessive commissions to retail investors.

Read More »

Former Florida Financial Advisor Charged with $2.7 Million Fraud Scheme

Posted on July 23rd, 2024 at 12:10 PM
Former Florida Financial Advisor Charged with $2.7 Million Fraud Scheme

According to ThinkAdvisor, federal prosecutors have charged former Florida financial advisor Jared Dean Eakes with wire fraud, alleging he scammed clients out of over $2.7 million across multiple states, including Alabama, Arkansas, Florida, Missouri, and elsewhere.

Read More »

Financial Advisors Win Arbitration Over "Book of Business" Dispute

Posted on July 22nd, 2024 at 3:02 PM
Financial Advisors Win Arbitration Over

In a lengthy arbitration dispute, two Miami-based financial advisors, Eduardo Augsten and Gustavo Vega, battled over revenue generated from their shared book of business.

Read More »

TESTIMONIALS

Previous
Next

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

December 2, 2025
Crypto's Leverage Shakeout Exposes Structural Risks

The crypto market’s recent downturn erased nearly $20 billion in leveraged positions within hours and half a trillion dollars in market value over a single weekend.

December 1, 2025
UBS Winds Down Funds as First Brands Bankruptcy Ripples Through Global Markets

UBS Group AG has begun liquidating two invoice finance funds with direct exposure to First Brands Group, marking one of the earliest moves by a major financial institution to contain the fallout from the bankrupt auto-parts supplier’s collapse, as reported by Bloomberg Law.

November 26, 2025
Former GWG Chair Charged in Alleged $150 Million Fraud Scheme as Investor Losses Mount

Federal prosecutors have intensified scrutiny of the long-running collapse of GWG Holdings Inc., unveiling criminal charges against Bradley Heppner, the former chair of both GWG and Beneficient.