Tr?id=566623520170033&ev=PageView&noscript=1

Tagged with "Eccleston Law"

FINRA Suspends Former Gradient Securities Advisor

Posted on August 19th, 2026 at 12:29 PM
FINRA Suspends Former Gradient Securities Advisor

The Financial Industry Regulatory Authority (FINRA) has suspended former Gradient Securities representative Mark J.

Read More »

Senior Protection Case Study: Edward Jones and Senior Investor Safeguards

Posted on August 18th, 2026 at 12:29 PM
Senior Protection Case Study: Edward Jones and Senior Investor Safeguards

A recent incident involving Edward Jones illustrates how challenging it may be to employ safeguards for protecting older clients from financial exploitation.

Read More »

Federal Judge Allows Investor Class Action Over Lightstone REIT Disclosures to Proceed

Posted on August 17th, 2026 at 11:29 AM
Federal Judge Allows Investor Class Action Over Lightstone REIT Disclosures to Proceed

A federal judge has allowed investors to proceed with a class-action lawsuit alleging that directors and advisors of three Lightstone Value Plus REITs failed to disclose a significant conflict of interest before shareholders voted on amendments extending the funds' operating periods.

Read More »

Cash Sweep Litigation Continues to Drive Legal Costs

Posted on August 14th, 2026 at 3:14 PM
Cash Sweep Litigation Continues to Drive Legal Costs

Cash sweep litigation continues to increase legal costs for wealth management firms despite the Securities and Exchange Commission's (SEC) decision under the Trump administration to close pending investigations without imposing enforcement penalties, according to AdvisorHub.

Read More »

FINRA Orders Centaurus Financial to Pay $1.1 Million Over Variable Annuity Supervision Failures

Posted on August 13th, 2026 at 11:59 AM
FINRA Orders Centaurus Financial to Pay $1.1 Million Over Variable Annuity Supervision Failures

The Financial Industry Regulatory Authority (FINRA) has ordered Centaurus Financial Inc.

Read More »

Proposed FINRA Enforcement Reforms Draw Mixed Reactions From Industry Participants

Posted on August 12th, 2026 at 12:59 PM
Proposed FINRA Enforcement Reforms Draw Mixed Reactions From Industry Participants

A new report recommending changes to the Financial Industry Regulatory Authority's (FINRA) enforcement program has generated mixed reactions from investor advocates, securities attorneys and industry professionals, according to ThinkAdvisor.

Read More »

FINRA Fines RBC Capital Markets $275,000 Over Anti-Money Laundering Compliance Deficiencies

Posted on August 10th, 2026 at 4:47 PM
FINRA Fines RBC Capital Markets $275,000 Over Anti-Money Laundering Compliance Deficiencies

The Financial Industry Regulatory Authority (FINRA) has censured and fined RBC Capital Markets $275,000 after determining that the firm failed to establish and implement reasonable anti-money laundering (AML) policies and procedures.

Read More »

Federal Judge Rejects Merrill Lynch's Renewed Bid to Force Dynasty Into FINRA Arbitration

Posted on August 10th, 2026 at 4:44 PM
Federal Judge Rejects Merrill Lynch's Renewed Bid to Force Dynasty Into FINRA Arbitration

A federal judge has denied Merrill Lynch's second attempt to compel Dynasty Financial Partners to arbitrate a high-profile dispute arising from allegations that the registered investment adviser (RIA) platform orchestrated the departure of a large Atlanta-based advisory team, according to AdvisorHub.

Read More »

Account Takeover Fraud Continues to Rise as Cybercriminals Refine Their Tactics

Posted on August 6th, 2026 at 11:15 AM
Account Takeover Fraud Continues to Rise as Cybercriminals Refine Their Tactics

Cybercriminals continue to refine account takeover schemes, driving billions of dollars in losses for businesses and consumers each year.

Read More »

FINRA Arbitration Panel Orders Arkadios Capital to Pay $2.7 Million in Ponzi Scheme-Related Claim

Posted on August 5th, 2026 at 12:59 PM
FINRA Arbitration Panel Orders Arkadios Capital to Pay $2.7 Million in Ponzi Scheme-Related Claim

A Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered Arkadios Capital to pay $2.7 million in damages to an investor who alleged the firm failed to supervise a former registered representative whose father operated a long-running Ponzi scheme, according to InvestmentNews.

Read More »

TESTIMONIALS

Previous
Next
Quotes Bigger

I cannot thank you enough for your efforts. You have proven to be a valuable resource.

Jim T.

LATEST NEWS AND ARTICLES

1790789328 Law
September 30, 2026
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.

1790700476 Law
September 29, 2026
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.

1790615885 Law
September 28, 2026
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).