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Tagged with "eccleston"

FINRA Suspends Former UBS Broker Over Personal Credit Card Transfers

Posted on January 5th, 2026 at 2:36 PM
FINRA Suspends Former UBS Broker Over Personal Credit Card Transfers

The Financial Industry Regulatory Authority (FINRA) has sanctioned a former UBS Wealth Management USA broker, Timothy R. Jones.

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FINRA Overhauls Arbitration Rules to Rebalance Arbitrator Selection and Codify Forum Practices

Posted on December 22nd, 2025 at 10:01 AM
FINRA Overhauls Arbitration Rules to Rebalance Arbitrator Selection and Codify Forum Practices

The Financial Industry Regulatory Authority (FINRA) has approved significant amendments to its Codes of Arbitration Procedure designed to rebalance public arbitrator selection, increase transparency, and formalize several long-standing practices in the arbitration forum.

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Industry Groups Press Senate at Advance Financial Exploitation Prevention Act

Posted on December 19th, 2025 at 1:03 PM
Industry Groups Press Senate at Advance Financial Exploitation Prevention Act

Several industry associations are urging the U.S. Senate to pass the Financial Exploitation Prevention Act, legislation that would allow mutual fund companies and their transfer agents to delay redemptions when they reasonably suspect elder financial abuse.

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UBS Warns of Rising Default Risk in Private Credit

Posted on December 18th, 2025 at 4:28 PM
UBS Warns of Rising Default Risk in Private Credit

A UBS report signals that credit stress likely will intensify next year as borrowers confront inflation, elevated interest costs, and softening consumer conditions.

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Audit Failures, Whistleblower Claims, and Renewed Scrutiny of the Big Four

Posted on December 17th, 2025 at 2:08 PM
Audit Failures, Whistleblower Claims, and Renewed Scrutiny of the Big Four

A series of lawsuits, congressional findings, and high-profile corporate collapses has reignited long-standing concerns about the audit industry’s ability to confront fraud, as reported by Bloomberg Law.

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Reminders for CFAs in Adhering to Compliance Standard, Client-Disclosure and Conflict Management Requirements

Posted on December 16th, 2025 at 12:57 PM
Reminders for CFAs in Adhering to Compliance Standard, Client-Disclosure and Conflict Management Requirements

In 2023, the CFA Institute Board of Governors approved targeted revisions to the Standards of Professional Conduct, adding one new standard and updating two others.

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FINRA Sanctions Former Merrill Broker for Unapproved Referral Payouts

Posted on December 15th, 2025 at 11:51 AM
FINRA Sanctions Former Merrill Broker for Unapproved Referral Payouts

The Financial Industry Regulatory Authority (FINRA) issued a six-month suspension and a $7,500 fine against former Merrill Lynch broker Jeremiah Householder after finding that he accepted referral commissions from an unapproved third-party lender.

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SEC Charges Driver Who Posed as a Financial Professional and Lost Over $1 Million

Posted on December 12th, 2025 at 2:00 PM
SEC Charges Driver Who Posed as a Financial Professional and Lost Over $1 Million

Federal regulators charged a New York area driver with masquerading as a seasoned investment professional and causing significant losses for three investors.

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DOJ Secures Five-Year Prison Sentence in Wolf Capital Crypto Fraud Case

Posted on December 11th, 2025 at 11:52 AM
DOJ Secures Five-Year Prison Sentence in Wolf Capital Crypto Fraud Case

Federal prosecutors have obtained a five-year prison sentence for Travis Ford, an Oklahoma resident who admitted to orchestrating a fraudulent crypto investment scheme through Wolf Capital.

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SEC Highlights Rising Risks in RIA Consolidation and Focuses on Retailer Investor Protection

Posted on December 10th, 2025 at 4:18 PM
SEC Highlights Rising Risks in RIA Consolidation and Focuses on Retailer Investor Protection

The Securities and Exchange Commission signaled heightened scrutiny of investment advisers involved in mergers and acquisitions, according to its newly released 2026 Examination Priorities.

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LATEST NEWS AND ARTICLES

1785858278 Law
August 4, 2026
SEC Fines Former LPL Broker $125,000 for Undisclosed Conflicts in Private Securities Offerings

The Securities and Exchange Commission (SEC) has censured a former LPL Financial broker and imposed a $125,000 civil penalty after finding that he failed to disclose conflicts of interest related to private real estate securities offerings that generated nearly $1.5 million in compensation, as reported by AdvisorHub.

1785772777 Law
August 3, 2026
FINRA Launches Review of High-Risk Structured Notes Sales and Supervision

The Financial Industry Regulatory Authority (FINRA) has launched a regulatory sweep examining the sale of high-risk structured products, with particular attention on non-principal protected "worst-of" structured notes, according to AdvisorHub.

1785531573 Law
July 31, 2026
Former Alabama Financial Advisor Barred After Selling His Practice

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