Tagged with "Eccleston Law"

Law Firms Investigate Potential Claims Against Silvergate Capital on Behalf of FTX Customers

Posted on January 9th, 2023 at 3:01 PM
Law Firms Investigate Potential Claims Against Silvergate Capital on Behalf of FTX Customers

Law firms are investigating potential claims against Silvergate Capital on behalf of FTX customers who wired fiat currency to Alameda Research.

Read More »

FINRA Settles With Coastal Equities Over Improper GPB Private Placement Sales

Posted on January 6th, 2023 at 12:54 PM
FINRA Settles With Coastal Equities Over Improper GPB Private Placement Sales

The Financial Industry Regulatory Authority (FINRA) has agreed to a $418,000 settlement with Coastal Equities over sales in 2018 of GPB private placements. 

Read More »

GWG Bondholders Prepare To File Suit Against Financial Advisory Firms and Executives

Posted on January 5th, 2023 at 10:36 AM
GWG Bondholders Prepare To File Suit Against Financial Advisory Firms and Executives

A group representing nearly 27,000 retail investors is set to file suit against GWG Holdings’ executives as well as the financial advisory firms that marketed and sold $1.6 billion worth of GWG L bonds, according to a recent bankruptcy court filing in Houston. 

Read More »

GWG Obtains Debtor-In-Possession Loan

Posted on January 4th, 2023 at 2:08 PM
GWG Obtains Debtor-In-Possession Loan

GWG Holdings has obtained a super-priority secured debtor-in possession loan and guaranty agreement to receive money to fund the company’s operations amidst bankruptcy proceedings, according to a filing with the Securities and Exchange Commission (SEC).

Read More »

FINRA Alters Remote Inspection Proposal to Satisfy Critics

Posted on January 3rd, 2023 at 1:02 PM
FINRA Alters Remote Inspection Proposal to Satisfy Critics

The Financial Industry Regulatory Authority (FINRA) has amended its proposal to permit financial advisory firms to conduct their internal inspections remotely beyond year-end 2023 to satisfy state regulators and investor advocates. 

Read More »

FINRA Fines Edward Jones $1.1 Million For Mishandling Phone Records

Posted on January 2nd, 2023 at 3:01 PM
FINRA Fines Edward Jones $1.1 Million For Mishandling Phone Records

The Financial Industry Regulatory Authority (FINRA) has issued a $1.1 million fine to Edward Jones for allegedly mishandling phone records that FINRA was seeking. 

Read More »

FINRA Fines LPL $150,000 For Failing to Detect Advisor’s Ponzi Scheme

Posted on December 21st, 2022 at 1:33 PM
FINRA Fines LPL $150,000 For Failing to Detect Advisor’s Ponzi Scheme

The Financial Industry Regulatory Authority (FINRA) has fined LPL Financial $150,000 for failing to adequately supervise an advisor who later was found to have perpetuated a Ponzi scheme. 

Read More »

SEC Alerts Financial Advisory Firms to Their Failure to Protect Clients From Identity Theft

Posted on December 20th, 2022 at 1:15 PM
SEC Alerts Financial Advisory Firms to Their Failure to Protect Clients From Identity Theft

Financial advisory firms are failing to design and maintain effective policies and procedures to restrict hackers from stealing clients’ personal and confidential information, according to a risk alert published by the Securities and Exchange Commission (SEC).

Read More »

Former LPL Advisor Arrested On Theft Charges

Posted on December 19th, 2022 at 2:14 PM
Former LPL Advisor Arrested On Theft Charges

Bradley Goodbred, a former LPL advisor who was recently charged with theft by the Securities and Exchange Commission (SEC), was arrested by suburban Chicago police last week. 

Read More »

Former GWG CEO Resigns From Board

Posted on December 16th, 2022 at 1:27 PM
Former GWG CEO Resigns From Board

GWG Holdings announced its bankruptcy earlier this year, which has resulted in the resignations of multiple members of its board of directors. 

Read More »

TESTIMONIALS

Previous
Next

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

Marci M.

LATEST NEWS AND ARTICLES

November 7, 2025
FINRA Suspends Former Wells Fargo Broker Over Unapproved Real Estate Venture

The Financial Industry Regulatory Authority (FINRA) suspended former Wells Fargo broker George J. Cairnes for four months and fined him $25,000 for engaging in unapproved real estate outside business activity, according to a settlement letter issued.

November 6, 2025
Former Ameriprise Broker Ordered to Pay $2.2 Million for Elder Exploitation

A Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered Eric A. Dupre to pay nearly $2.2 million in damages to his former firm and two customers following allegations of theft and elder exploitation.

November 5, 2025
Former Wells Fargo Representative Suspended for Unauthorized Texting and Obstruction

The Financial Industry Regulatory Authority (FINRA) has suspended former Wells Fargo representative Eyan M. Townsend for one year and fined him $10,000 for using personal text messages to conduct business and attempting to obstruct an internal investigation by deleting those communications.