Tagged with "Eccleston Law"

Epicenters of Investment Fraud Revealed in New Study

Posted on June 27th, 2023 at 1:15 PM
Epicenters of Investment Fraud Revealed in New Study

2022 witnessed a staggering surge in investment fraud, surpassing all other types of fraud in terms of monetary losses among Americans.

Read More »

Attorneys Believe James Gorman's "New Blood" Remarks Could Strengthen Ageism Lawsuits

Posted on June 26th, 2023 at 11:02 AM
Attorneys Believe James Gorman's

James Gorman, CEO of Morgan Stanley, has faced criticism for his recent comments regarding the company's termination of around 3,500 employees since April.

Read More »

Welcome Attorney Anthony Bingham

Posted on June 26th, 2023 at 9:47 AM
Welcome Attorney Anthony Bingham

Eccleston Law, LLC is pleased to announce the addition of Attorney Anthony Bingham, expanding the firm’s practice representing financial advisors and investors to Arizona.

Read More »

The Growing Compliance Risks of Neglecting Life Settlement Discussions

Posted on June 23rd, 2023 at 1:58 PM
The Growing Compliance Risks of Neglecting Life Settlement Discussions

According to a recent article in Wealth Solutions Report, broker-dealers should consider enhanced oversight pertaining to suitability, recommendations, and the use of funds obtained from life settlement transactions.

Read More »

Surge in Elderly-Targeted Cryptocurrency Scams

Posted on June 22nd, 2023 at 11:26 AM
Surge in Elderly-Targeted Cryptocurrency Scams

According to U.S. Department of Justice research, over 3,000 senior citizens were victims of investment cryptocurrency scams. 

Read More »

SEC Files Charges Against Florida Resident Cedric Griffin for $5.9 Million Ponzi Scheme Targeting African American Community

Posted on June 21st, 2023 at 1:36 PM
SEC Files Charges Against Florida Resident Cedric Griffin for $5.9 Million Ponzi Scheme Targeting African American Community

Cedric Dewayne Griffin has been charged by the Securities and Exchange Commission (SEC) for running a Ponzi scheme targeting the African American community in Jacksonville, Florida, and in other regions.

Read More »

FINRA Bars LPL Advisor for Non-Cooperation in Overdraft Investigation

Posted on June 20th, 2023 at 1:19 PM
FINRA Bars LPL Advisor for Non-Cooperation in Overdraft Investigation

The Financial Industry Regulatory Authority (FINRA) has banned a former advisor from LPL Financial due to his refusal to cooperate with an investigation.

Read More »

Five Major Rules The SEC Plans To Finalize By Year-End

Posted on June 19th, 2023 at 8:57 AM
Five Major Rules The SEC Plans To Finalize By Year-End

According to the Securities and Exchange Commission’s (SEC) Spring 2023 regulatory flexibility agenda, the SEC plans to finalize several controversial rules by the end of the year.

Read More »

Former LPL Advisor Created Fraudulent Bank Account To Steal $1.3 Million From Customer

Posted on June 15th, 2023 at 11:01 AM

The Securities and Exchange Commission (SEC) filed a complaint accusing Patrick N. Thayer of stealing $1.3 million from a customer.

Read More »

Silver Star Properties REIT Raises Concerns about Future Viability in SEC Filing

Posted on June 15th, 2023 at 8:59 AM
Silver Star Properties REIT Raises Concerns about Future Viability in SEC Filing

Silver Star Properties REIT Inc., previously known as Hartman Short Term Income Properties XX Inc., has raised concerns about its ability to sustain operations in its latest quarterly report filed with the Securities and Exchange Commission (SEC).

Read More »

TESTIMONIALS

Previous
Next

I just received this letter from the CFP Board. Thank you, Thank you, THANK YOU!

David Y

LATEST NEWS AND ARTICLES

September 19, 2025
Financial Advisors Split on AI Adoption

Artificial Intelligence (AI) continues to dominate headlines, promising sweeping efficiencies in nearly every industry. Financial Planning reports that financial advisors remain divided on its role and value.

September 18, 2025
Easterly ROCMuni Fund Collapse Triggers Investor Lawsuits

The Easterly ROCMuni High Income Municipal Bond Fund (tickers RMHIX, RMHVX, RMJAX) suffered a significant collapse in mid-2025, wiping out hundreds of millions in value and leaving many investors with steep losses.

September 17, 2025
FINRA Suspends Centaurus Dallas Broker Over Excessive Alternative Investment Sales

FINRA has suspended a Centaurus Financial broker, William Burks, for four months after finding he placed as much as 91 percent of a client’s net worth into illiquid alternative investments.