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Tagged with "eccleston"

Cape Coral Becomes Ground Zero for Private Lending Strains in Post-Pandemic Housing Market

Posted on March 12th, 2026 at 11:17 AM
Cape Coral Becomes Ground Zero for Private Lending Strains in Post-Pandemic Housing Market

Cape Coral, Florida, long a magnet for out-of-state real estate investors, now illustrates the growing risks of private lending in residential development.

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SEC and Commonwealth Financial Network Move Toward Settlement in Revenue Sharing Disclosure Case

Posted on March 11th, 2026 at 11:17 AM
SEC and Commonwealth Financial Network Move Toward Settlement in Revenue Sharing Disclosure Case

The Securities and Exchange Commission (SEC) and Commonwealth Financial Network notified a federal court that they are attempting to resolve a long running enforcement dispute involving alleged disclosure failures tied to revenue sharing payments, according to ThinkAdvisor.

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Northern Trust Faces $35 Million Elder Abuse Lawsuit Over Alleged Trust Theft

Posted on March 10th, 2026 at 10:48 AM
Northern Trust Faces $35 Million Elder Abuse Lawsuit Over Alleged Trust Theft

Northern Trust faces a lawsuit seeking at least $35 million in damages over allegations that its former vice president stole millions from a $20 million legacy trust belonging to an elderly beneficiary, according to ThinkAdvisor.

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SEC Alerts Investors as to the Relationship Investment Scam

Posted on March 9th, 2026 at 1:04 PM
SEC Alerts Investors as to the Relationship Investment Scam

The Securities and Exchange Commission (SEC) has alerted investors that fraudsters increasingly rely on relationship-based investment schemes to steal money.

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Modern Fraud Schemes Escalate in Scale and Sophistication

Posted on March 4th, 2026 at 12:37 PM
Modern Fraud Schemes Escalate in Scale and Sophistication

A recent panel discussion at the Financial Services Institute OneVoice conference in San Diego highlighted how rapidly evolving fraud schemes continue to victimize both retail and wealthy investors.

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FINRA Suspends Former Stifel Broker Over Costly Account Switching Trades

Posted on March 3rd, 2026 at 2:00 PM
FINRA Suspends Former Stifel Broker Over Costly Account Switching Trades

The Financial Industry Regulatory Authority (FINRA) suspended a former Stifel, Nicolaus & Co.

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FINRA Suspends Cetera Broker for Accepting $50,000 Client Bequest Without Firm Approval

Posted on March 2nd, 2026 at 2:01 PM
FINRA Suspends Cetera Broker for Accepting $50,000 Client Bequest Without Firm Approval

The Financial Industry Regulatory Authority (FINRA) imposed a $10,000 fine and a seven-month suspension on an independent broker for accepting a $50,000 bequest from a client without obtaining prior firm approval.

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Eighth Circuit Rejects Emergency Injunction in Advisor Departure Dispute

Posted on February 27th, 2026 at 12:21 PM
Eighth Circuit Rejects Emergency Injunction in Advisor Departure Dispute

A federal appeals court ruled against an advisory firm seeking immediate, injunctive relief after a team of advisors left with hundreds of millions in client assets.

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FINRA Bars Former Cambridge Advisor After Refusal to Cooperate With Communications Probe

Posted on February 26th, 2026 at 3:35 PM
FINRA Bars Former Cambridge Advisor After Refusal to Cooperate With Communications Probe

A former advisor affiliated with Cambridge Investment Research has been barred from the securities industry after declining to comply with a regulatory investigation, according to the Financial Industry Regulatory Authority (FINRA).

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Advisors Increase Crypto Allocations as Merrill Lynch Warns of Significant Risks

Posted on February 25th, 2026 at 10:57 AM
Advisors Increase Crypto Allocations as Merrill Lynch Warns of Significant Risks

Financial advisors are placing more client assets into digital currencies, even as major firms caution investors about the asset class's volatility and speculative nature.

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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

1793034027 Law
October 26, 2026
FINRA Bars Former Wedbush Broker Over $3.5 Million in Complex ETP Losses

The Financial Industry Regulatory Authority (FINRA) barred former Wedbush Securities broker William H.

1792610544 Law
October 21, 2026
FINRA Fines and Suspends Former LPL Broker Over Undisclosed Customer Settlement

The Financial Industry Regulatory Authority (FINRA) fined former LPL Financial broker Gregory W.

1792523173 Law
October 20, 2026
FINRA Orders American Portfolios to Pay $1.6 Million Over Unit Investment Trust Supervision Failures

The Financial Industry Regulatory Authority (FINRA) has ordered American Portfolios, the broker-dealer later absorbed into Osaic, to pay more than $1.6 million in restitution and fines over failures to supervise financial advisors who repeatedly recommended that customers sell unit investment trusts (UITs) before maturity.