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Tagged with "Eccleston Law"

Ameriprise Broker Sues LPL-Affiliated Practice Over Use of "Kindred" Name

Posted on August 25th, 2026 at 1:37 PM
Ameriprise Broker Sues LPL-Affiliated Practice Over Use of

AdvisorHub reports that an Ameriprise Financial broker in Oklahoma has filed a trademark infringement lawsuit against an LPL Financial-affiliated practice over its use of the word "kindred" in its name.

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Sophisticated Voice Phishing Attacks Target Major Wall Street Firms

Posted on August 24th, 2026 at 1:22 PM
Sophisticated Voice Phishing Attacks Target Major Wall Street Firms

According to ThinkAdvisor, hackers recently launched a series of sophisticated cyberattacks against major Wall Street firms, including prominent hedge funds and private equity companies.

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Rising Market Leverage Raises Concerns About Financial Stability Despite Low Volatility

Posted on August 21st, 2026 at 3:53 PM
Rising Market Leverage Raises Concerns About Financial Stability Despite Low Volatility

The leverage that has helped drive the U.S.

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FinCEN Imposes Record $125 Million Penalty on UBS Financial Services

Posted on August 20th, 2026 at 12:44 PM
FinCEN Imposes Record $125 Million Penalty on UBS Financial Services

The Financial Crimes Enforcement Network (FinCEN) has imposed a $125 million civil money penalty against UBS Financial Services Inc.

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Former UBS Financial Advisor Suspended and Fined Over Unauthorized Trading Allegations

Posted on August 19th, 2026 at 12:44 PM
Former UBS Financial Advisor Suspended and Fined Over Unauthorized Trading Allegations

The Financial Industry Regulatory Authority (FINRA) suspended a former UBS Wealth Management USA broker for three months and fined him $10,000 after finding that he executed hundreds of trades in two customers' accounts without the required written authorization.

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FINRA Suspends Former Gradient Securities Advisor

Posted on August 19th, 2026 at 12:29 PM
FINRA Suspends Former Gradient Securities Advisor

The Financial Industry Regulatory Authority (FINRA) has suspended former Gradient Securities representative Mark J.

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Senior Protection Case Study: Edward Jones and Senior Investor Safeguards

Posted on August 18th, 2026 at 12:29 PM
Senior Protection Case Study: Edward Jones and Senior Investor Safeguards

A recent incident involving Edward Jones illustrates how challenging it may be to employ safeguards for protecting older clients from financial exploitation.

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Federal Judge Allows Investor Class Action Over Lightstone REIT Disclosures to Proceed

Posted on August 17th, 2026 at 11:29 AM
Federal Judge Allows Investor Class Action Over Lightstone REIT Disclosures to Proceed

A federal judge has allowed investors to proceed with a class-action lawsuit alleging that directors and advisors of three Lightstone Value Plus REITs failed to disclose a significant conflict of interest before shareholders voted on amendments extending the funds' operating periods.

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Cash Sweep Litigation Continues to Drive Legal Costs

Posted on August 14th, 2026 at 3:14 PM
Cash Sweep Litigation Continues to Drive Legal Costs

Cash sweep litigation continues to increase legal costs for wealth management firms despite the Securities and Exchange Commission's (SEC) decision under the Trump administration to close pending investigations without imposing enforcement penalties, according to AdvisorHub.

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FINRA Orders Centaurus Financial to Pay $1.1 Million Over Variable Annuity Supervision Failures

Posted on August 13th, 2026 at 11:59 AM
FINRA Orders Centaurus Financial to Pay $1.1 Million Over Variable Annuity Supervision Failures

The Financial Industry Regulatory Authority (FINRA) has ordered Centaurus Financial Inc.

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If you find yourself in trouble with the regulators, call Eccleston Law, you won't regret it.

Rick R.

LATEST NEWS AND ARTICLES

1787679428 Law
August 25, 2026
Ameriprise Broker Sues LPL-Affiliated Practice Over Use of "Kindred" Name

AdvisorHub reports that an Ameriprise Financial broker in Oklahoma has filed a trademark infringement lawsuit against an LPL Financial-affiliated practice over its use of the word "kindred" in its name.

1787592120 Law
August 24, 2026
Sophisticated Voice Phishing Attacks Target Major Wall Street Firms

According to ThinkAdvisor, hackers recently launched a series of sophisticated cyberattacks against major Wall Street firms, including prominent hedge funds and private equity companies.

1787342003 Law
August 21, 2026
Rising Market Leverage Raises Concerns About Financial Stability Despite Low Volatility

The leverage that has helped drive the U.S.