Tagged with "Eccleston Law"

Number Of Nasdaq Stocks Down 50% Or More Approaches Record

Posted on January 10th, 2022 at 12:46 PM
Number Of Nasdaq Stocks Down 50% Or More Approaches Record

An increasing number of Nasdaq stocks have plummeted by around 50% in an echo of the dot-com crash.

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Wells Fargo Divisional Head Vanderveen Steps Down

Posted on January 7th, 2022 at 12:23 PM
Wells Fargo Divisional Head Vanderveen Steps Down

One of eight regional directors monitoring Wells Fargo Advisors’ private client group departed the firm last week after a leave of absence that lasted several weeks.

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Boston Man Agrees To SEC Settlement After Guilty Plea

Posted on January 6th, 2022 at 3:05 PM
Boston Man Agrees To SEC Settlement After Guilty Plea

A Boston man accused of defrauding investors has agreed to a settlement with the Securities and Exchange Commission (SEC) after pleading guilty in a parallel criminal case.

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New FINRA Rule Reining In Rogue Brokerages Becomes Effective

Posted on January 5th, 2022 at 1:47 PM
New FINRA Rule Reining In Rogue Brokerages Becomes Effective

The Financial Industry Regulatory Authority (FINRA) adopted a new rule in 2020 that is designed to rein in rogue brokerage firms.

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FINRA Fines Two Firms Over Mutual Fund Sales

Posted on January 4th, 2022 at 1:16 PM
FINRA Fines Two Firms Over Mutual Fund Sales

The Financial Industry Regulatory Authority (FINRA) has fined Emerson Equity $1.7 million, citing several years of faulty supervision of short-term mutual fund trades.

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Notable 2021 Ponzi Schemes

Posted on January 3rd, 2022 at 1:16 PM
Notable 2021 Ponzi Schemes

While 2021 was anything but an ordinary year, numerous advisors were indicted for conducting Ponzi schemes similar to previous years.

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I just wanted to say thanks again for preparing and executing my case in such a professional manner. It was a pleasure to watch two professionals take such pride in their work, as well as becoming personally in tune with your client (Me). I would personally recommend you and your firm to anyone.

John O.

LATEST NEWS AND ARTICLES

September 23, 2025
SEC Sanctions Emerson Equity and Advisor Over GWG L Bond Sales

The Securities and Exchange Commission (SEC) has announced settlements with Emerson Equity and one of its registered representatives, citing violations of Regulation Best Interest (Reg BI) tied to the sale of GWG Holdings Inc. L bonds.

September 22, 2025
Investors Pursue Recovery Amid Inspired Healthcare Capital Difficulties

Investors in Inspired Healthcare Capital (IHC) face mounting losses after the firm suspended distributions and halted new offerings in July 2025 amid an ongoing SEC review.

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.