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

Tagged with "Eccleston Law"

FINRA Arbitration Panel Awards Former J.P. Morgan Financial Advisor $4.25 Million in Defamation Case

Posted on July 20th, 2026 at 2:52 PM
FINRA Arbitration Panel Awards Former J.P. Morgan Financial Advisor $4.25 Million in Defamation Case

A Financial Industry Regulatory Authority (FINRA) arbitration panel awarded a former J.P.

Read More »

FINRA Arbitrators Award $2.25 Million Over Life Insurance Strategy

Posted on July 17th, 2026 at 11:52 AM
FINRA Arbitrators Award $2.25 Million Over Life Insurance Strategy

A former financial advisor must pay $2.25 million to clients who alleged he recommended a high-risk life insurance strategy that resulted in significant losses, according to a Financial Industry Regulatory Authority (FINRA) arbitration award.

Read More »

Delaware Judge Dismisses United Capital's Poaching Lawsuit Against Osaic With Leave to Amend

Posted on July 16th, 2026 at 3:07 PM
Delaware Judge Dismisses United Capital's Poaching Lawsuit Against Osaic With Leave to Amend

A Delaware judge has dismissed United Capital's lawsuit accusing Osaic of improperly recruiting financial advisors and soliciting client assets, but allowed the wealth management firm to file an amended complaint, according to AdvisorHub.

Read More »

LPL Financial Faces Class Action Over Phoenix Annuity Disclosures

Posted on July 15th, 2026 at 12:52 PM
LPL Financial Faces Class Action Over Phoenix Annuity Disclosures

LPL Financial faces a proposed class action lawsuit alleging that the firm failed to warn annuity investors about the declining financial condition of Phoenix PHL Variable Insurance Company.

Read More »

Mariner Wealth Advisors Reports Data Breach Affecting Nearly 9,000 Customers

Posted on July 14th, 2026 at 12:22 PM
Mariner Wealth Advisors Reports Data Breach Affecting Nearly 9,000 Customers

Mariner Wealth Advisors LLC disclosed a data breach that exposed personal information of 8,995 customers, according to AdvisorHub.

Read More »

FINRA Warns of Growing Risks From Finfluencers and AI-Driven Investment Content

Posted on July 13th, 2026 at 11:37 AM
FINRA Warns of Growing Risks From Finfluencers and AI-Driven Investment Content

Financial Industry Regulatory Authority (FINRA) regulators are raising concerns about the increasing influence of social media personalities and artificial intelligence (AI) on retail investors, particularly those managing their own investments without professional guidance.

Read More »

FINRA Suspends Former Branch Manager for Supervisory Failures Linked to Excessive Trading and Churning

Posted on July 9th, 2026 at 12:52 PM
FINRA Suspends Former Branch Manager for Supervisory Failures Linked to Excessive Trading and Churning

A former regional branch manager at a broker-dealer has agreed to Financial Industry Regulatory Authority (FINRA) sanctions after the regulator found that he failed to supervise registered representatives who engaged in excessive trading and churning of customer accounts.

Read More »

SEC Sanctions David Lerner Associates for Regulation Best Interest Violations

Posted on July 8th, 2026 at 11:52 AM
SEC Sanctions David Lerner Associates for Regulation Best Interest Violations

David Lerner Associates has agreed to settle Securities and Exchange (SEC) charges alleging violations of Regulation Best Interest (Reg BI) that resulted in unnecessary costs to retail investors, according to InvestmentNews.

Read More »

Private Credit Funds Face Mounting Redemption Pressure as Investor Sentiment Shifts

Posted on July 7th, 2026 at 10:23 AM
Private Credit Funds Face Mounting Redemption Pressure as Investor Sentiment Shifts

A surge in investor redemption requests has intensified pressure on private credit funds, raising concerns about liquidity and long-term stability across the asset class, as reported by The Wall Street Journal.

Read More »

Schwab Imposes New Limits on Tax-Aware Long-Short Investment Strategies

Posted on July 6th, 2026 at 1:07 PM
Schwab Imposes New Limits on Tax-Aware Long-Short Investment Strategies

Charles Schwab Corp.

Read More »

TESTIMONIALS

Previous
Next
Quotes Bigger

Fantastic news!!!!  Your professionalism, support and expertise were greatly appreciated.  You made a difficult situation much more bearable.

Marci M.

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).