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Tagged with "eccleston"

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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FINRA Flags Risks of Early Withdrawals and Exchanges in Registered Index-Linked Annuities

Posted on January 15th, 2026 at 4:08 PM
FINRA Flags Risks of Early Withdrawals and Exchanges in Registered Index-Linked Annuities

The Financial Industry Regulatory Authority (FINRA) has issued a renewed warning to the industry about the risks consumers face when they exit registered index-linked annuities (RILAs) before the end of the contract term.

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FINRA Fines and Suspends Wells Fargo Advisor Over Fictitious Expense Claims

Posted on January 14th, 2026 at 11:43 AM
FINRA Fines and Suspends Wells Fargo Advisor Over Fictitious Expense Claims

The Financial Industry Regulatory Authority (FINRA) fined and suspended a Wells Fargo Advisors representative in Waco, Texas, after finding that he submitted fictitious business expense claims, according to a FINRA Acceptance, Waiver and Consent (AWC) letter.

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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.