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Tagged with "Eccleston Law"

Edward Jones Expands Equity-Style Awards to Thousands More Advisors

Posted on February 20th, 2026 at 2:19 PM
Edward Jones Expands Equity-Style Awards to Thousands More Advisors

Edward D. Jones & Co. has expanded eligibility for its “profits interest” award, extending the equity-style incentive to thousands more advisors, according to a Securities and Exchange Commission filing reviewed by AdvisorHub.

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Wall Street Journal Analysis Questions Investor Gains Following DuPont's Decade-Long Breakup

Posted on February 19th, 2026 at 2:07 PM
Wall Street Journal Analysis Questions Investor Gains Following DuPont's Decade-Long Breakup

A Wall Street Journal analysis has raised questions about investor returns following DuPont’s multi-year corporate restructuring, which divided the historic conglomerate into multiple independent companies.

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American Portfolios Ordered to Pay $4.6 Million in Restitution Over Cash Sweep Program Disclosures

Posted on February 18th, 2026 at 10:50 AM
American Portfolios Ordered to Pay $4.6 Million in Restitution Over Cash Sweep Program Disclosures

The Financial Industry Regulatory Authority (FINRA) has ordered American Portfolios Financial Services to return $4.6 million to customers and pay monetary sanctions after determining that the firm overcharged investors and failed to properly disclose how it generated revenue through a cash sweep program.

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FINRA Fines Kingswood Capital Partners $150,000 for Supervisory Failures in GWG L Bond Sales

Posted on February 17th, 2026 at 3:47 PM
FINRA Fines Kingswood Capital Partners $150,000 for Supervisory Failures in GWG L Bond Sales

The Financial Industry Regulatory Authority (FINRA) censured and fined San Diego–based broker-dealer Kingswood Capital Partners $150,000 after finding supervisory failures tied to sales of high-risk GWG L bonds.

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FINRA Removes Arbitrators in Stifel Case, Drawing Scrutiny Over Impartiality Standards

Posted on February 16th, 2026 at 11:53 AM
FINRA Removes Arbitrators in Stifel Case, Drawing Scrutiny Over Impartiality Standards

FINRA agreed to remove two potential arbitrators from an upcoming Stifel Financial arbitration tied to former Miami-based broker Chuck Roberts, a move that could carry broad implications for investor arbitration.

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Cetera Fined $1.1 Million Over Supervisory and AML Deficiencies

Posted on February 13th, 2026 at 11:20 AM
Cetera Fined $1.1 Million Over Supervisory and AML Deficiencies

The Financial Industry Regulatory Authority (FINRA) has censured and fined Cetera Financial Group $1.1 million after identifying supervisory system and anti-money laundering (AML) failures across several subsidiary broker-dealers.

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CFTC Signals New Rulemaking for Prediction Markets and Crypto Oversight

Posted on February 12th, 2026 at 3:20 PM
CFTC Signals New Rulemaking for Prediction Markets and Crypto Oversight

The Commodity Futures Trading Commission (CFTC) plans to develop new regulations governing the growing prediction markets industry, Chairman Michael Selig announced, signaling a shift in regulatory strategy.

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Ameriprise Advisor Phishing Incident Potentially Exposes Client Data

Posted on February 11th, 2026 at 1:38 PM
Ameriprise Advisor Phishing Incident Potentially Exposes Client Data

A phishing incident involving an Ameriprise Financial advisor potentially exposed the personal information of hundreds of clients, according to a disclosure posted by the Maine Attorney General’s office.

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Merrill Lynch Expands Client Disclosures on Crypto and AI Risks

Posted on February 10th, 2026 at 1:42 PM
Merrill Lynch Expands Client Disclosures on Crypto and AI Risks

Merrill Lynch updated its required client disclosure brochure to address, for the first time, the evolving risks tied to cryptocurrency-linked investments and the firm’s expanding use of Artificial Intelligence tools.

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FINRA Orders Osaic Unit to Pay Over $5 Million for Misleading Bank Deposit Program Disclosures

Posted on February 9th, 2026 at 3:07 PM
FINRA Orders Osaic Unit to Pay Over $5 Million for Misleading Bank Deposit Program Disclosures

The Financial Regulatory Authority (FINRA) ordered independent broker-dealer Osaic and its acquired firm, American Portfolios Financial Services, to pay more than $5 million after finding that American Portfolios misled customers about how it calculated fees in its bank deposit program.

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LATEST NEWS AND ARTICLES

1778171646 Law
May 7, 2026
FINRA Bars Former Raymond James Broker for Refusing Testimony in Unauthorized Trading Probe

A former registered representative with Raymond James has been barred from the securities industry after refusing to cooperate with a Financial Industry Regulatory Authority (FINRA) investigation into alleged unauthorized trading activity.

1778084309 Law
May 6, 2026
FINRA Outlines Key Rulemaking Priorities and Recent Developments in Quarterly Agenda

The Financial Industry Regulatory Authority (FINRA) recently released its Quarterly Regulatory Policy Agenda, offering a detailed view of its rulemaking priorities, pending proposals, and recently approved regulatory changes.

1778000603 Law
May 5, 2026
Commonwealth Financial Network Resolves SEC Conflict of Interest Case

Commonwealth Financial Network has agreed to pay $5 million to resolve a long-standing conflict of interest case brought by the Securities and Exchange Commission, according to reporting by ThinkAdvisor.