Tagged with "Eccleston Law"

OFAC Targets Individual Trustee, Sending a Clear Warning to Fiduciaries and Family Offices

Posted on January 29th, 2026 at 1:09 PM
OFAC Targets Individual Trustee, Sending a Clear Warning to Fiduciaries and Family Offices

In a rare move, the Office of Foreign Assets Control (OFAC) penalized a former U.S. government official, underscoring that professional gatekeepers can face personal liability for sanctions violations tied to trust administration.

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FINRA Advances Overhaul of Outside Business Activity Rules to the SEC

Posted on January 28th, 2026 at 2:22 PM
FINRA Advances Overhaul of Outside Business Activity Rules to the SEC

FINRA formally has advanced its proposed overhaul of outside business activity (OBA) regulations to the Securities and Exchange Commission.

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FINRA Sanctions, Criminal Cases, and Industry Bars in 2025

Posted on January 27th, 2026 at 3:31 PM
FINRA Sanctions, Criminal Cases, and Industry Bars in 2025

AdvisorHub has compiled a year-end review of enforcement actions and criminal proceedings.

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FINRA Enforcement Actions for Reg BI Violations Surge Past 2024 Levels

Posted on January 26th, 2026 at 3:28 PM
FINRA Enforcement Actions for Reg BI Violations Surge Past 2024 Levels

The Financial Industry Regulatory Authority (FINRA) already has brought more Regulation Best Interest cases in 2025 than it did during all of 2024, according to statements from the regulator’s top enforcement official and a review of FINRA’s disciplinary records by AdvisorHub.

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JPMorgan Explores Crypto Trading for Institutional Clients as Wall Street Deepens Digital Asset Push

Posted on January 23rd, 2026 at 1:30 PM
JPMorgan Explores Crypto Trading for Institutional Clients as Wall Street Deepens Digital Asset Push

JPMorgan is weighing another significant expansion into cryptocurrency, as the firm considers allowing institutional clients to trade digital assets, according to Bloomberg Law.

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EC Zeroes In on Persistent Marketing Rule Failures With New Staff FAQs

Posted on January 22nd, 2026 at 3:51 PM
EC Zeroes In on Persistent Marketing Rule Failures With New Staff FAQs

The Securities and Exchange Commission (SEC) has sharpened its scrutiny of investment adviser marketing practices, signaling continued frustration with recurring compliance failures despite years of guidance and enforcement. As reported by Financial Advisor News, new staff FAQs published in January follow a December risk alert that detailed persistent deficiencies involving testimonials, endorsements, and third-party rankings.

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New Investor Losses as Yieldstreet Rebrands to Willow Wealth

Posted on January 21st, 2026 at 1:22 PM
New Investor Losses as Yieldstreet Rebrands to Willow Wealth

Yieldstreet, now operating under the name Willow Wealth, continues to report significant losses to investor clients despite a high-profile rebrand.

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SEC Charges Three Advisors in Alleged Sale of Unregistered Oil and Gas Securities

Posted on January 20th, 2026 at 3:33 PM
SEC Charges Three Advisors in Alleged Sale of Unregistered Oil and Gas Securities

The Securities and Exchange Commission (SEC) has charged three advisors and agents with selling millions of dollars in unregistered oil and gas securities to retail investors while failing to disclose conflicts of interest.

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FINRA Study Warns of Declining Investor Participation and Rising Fraud Risks Among Younger Investors

Posted on January 19th, 2026 at 1:33 PM
FINRA Study Warns of Declining Investor Participation and Rising Fraud Risks Among Younger Investors

A new study from FINRA’s Investor Education Foundation highlights troubling shifts in retail investing, including shrinking participation, heavier reliance on social media for advice, and growing vulnerability to fraud.

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SEC Signals Sweeping IPO Rule Changes to Ease Path for Smaller Companies

Posted on January 16th, 2026 at 11:26 AM
SEC Signals Sweeping IPO Rule Changes to Ease Path for Smaller Companies

The Securities and Exchange Commission (SEC) plans to overhaul its public offering framework to make it easier for smaller companies to access the public markets, according to remarks SEC Chairman Paul Atkins delivered at the New York Stock Exchange, as reported by Bloomberg Law.

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TESTIMONIALS

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We just wanted to say thanks for your work in helping us get back some of the money we lost. We are not by any means rich, but we have saved some money and we have done so through a tight-fisted approach to most everything we do. So losing a significant chunk of money hurt…especially at a time when everyone else was growing their accounts. We really appreciate the work you did.

Allan and Adele

LATEST NEWS AND ARTICLES

January 29, 2026
OFAC Targets Individual Trustee, Sending a Clear Warning to Fiduciaries and Family Offices

In a rare move, the Office of Foreign Assets Control (OFAC) penalized a former U.S. government official, underscoring that professional gatekeepers can face personal liability for sanctions violations tied to trust administration.

January 28, 2026
FINRA Advances Overhaul of Outside Business Activity Rules to the SEC

FINRA formally has advanced its proposed overhaul of outside business activity (OBA) regulations to the Securities and Exchange Commission.

January 27, 2026
FINRA Sanctions, Criminal Cases, and Industry Bars in 2025

AdvisorHub has compiled a year-end review of enforcement actions and criminal proceedings.