FINRA has fined TradeStation Securities Inc. $85,000 for violations related to retail communications about crypto assets and crypto asset-related services.
If you find yourself in trouble with the regulators, call Eccleston Law, you won't regret it.
FINRA has fined TradeStation Securities Inc. $85,000 for violations related to retail communications about crypto assets and crypto asset-related services.
The Financial Industry Regulatory Authority’s (FINRA) has published its 2025 Industry Snapshot. The Snapshot provides a detailed view of its member firms, registered representatives, and trading activity, revealing both consolidation in the industry and shifts in business models.
The Financial Industry Regulatory Authority (FINRA) has permanently barred former Raymond James financial advisor Meredith Archer Webber after she failed to comply with repeated requests for documents and testimony during an investigation into the possible misappropriation of funds from two elderly clients, according to ThinkAdvisor.
The Securities and Exchange Commission (SEC) has fined American Portfolios Advisors $1.75 million for a series of violations that occurred between August 2020 and March 2023, including overbilling advisory clients and failing to disclose conflicts of interest tied to compensation arrangements.
The evolving world of paying college athletics has opened new revenue streams for student-athletes. According to Wealth Management it has also invited a host of fifinancial dangers that many young players are ill-equipped to manage.
Federal authorities have indicted former securities broker Edwin Emmett Lickiss Jr., 77, on wire fraud and money laundering charges for allegedly orchestrating a $9.5 million Ponzi scheme involving at least 50 investors.
Federal prosecutors have charged former Fidelity Investments advisor Eric James Stone with 10 counts of wire and mail fraud and five counts of money laundering, accusing him of orchestrating a $2 million scheme that exploited a former client for personal gain.
The CFP Board promotes its certificants as the “most trusted” financial professionals and directs consumers to its LetsMakeAPlan.org search tool. However, a Financial Planning analysis reveals a significant gap between the Board’s records and those maintained by FINRA’s BrokerCheck database.
LPL Financial is facing a lawsuit in California Superior Court alleging widespread wage and hour violations affecting non-exempt employees across the state.
UBS Financial Services has been ordered to pay $737,000 in damages and fees after a former Tesla executive accused the firm of mishandling an options strategy involving his concentrated stock position.


If you find yourself in trouble with the regulators, call Eccleston Law, you won't regret it.
If you are being bothered by the Regulators, call Eccleston Law, you won't regret it.
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The Securities and Exchange Commission (SEC) filed a lawsuit against Brian Kahn, former CEO of Franchise Group Inc., alleging he defrauded investors of more than $350 million in a multi-year investment adviser fraud tied to the collapse of Prophecy Asset Management (Prophecy).

The FINRA Investor Education Foundation (FINRA Foundation) has released preliminary findings from its upcoming report, Investors in the United States: A Report of the National Financial Capability Study.

UBS Wealth Management USA has filed a lawsuit and requested a temporary restraining order (TRO) against a $1.4 billion advisory team that recently departed to join Elevation Point, a West Palm Beach-based registered investment advisor launched just 15 months ago.