Tagged with "eccleston"

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.

Read More »

Merrill Lynch Highlights AI Risks as FINRA Urges Greater Oversight of Emerging Technology

Posted on February 24th, 2026 at 1:57 PM
Merrill Lynch Highlights AI Risks as FINRA Urges Greater Oversight of Emerging Technology

Merrill Lynch has warned that the expanded use of artificial intelligence and machine learning introduces material operational, compliance, and cybersecurity risks for advisory firms.

Read More »

Drive Planning Founder Pleads Guilty to $380 Million Ponzi Scheme

Posted on February 23rd, 2026 at 2:01 PM
Drive Planning Founder Pleads Guilty to $380 Million Ponzi Scheme

Todd Burkhalter, founder and chief executive officer of Drive Planning LLC, has pleaded guilty to wire fraud after admitting he orchestrated a $380 million Ponzi scheme that defrauded more than 2,000 investors.

Read More »

Edward Jones Expands Equity-Style Awards to Thousands More Advisors

Posted on February 20th, 2026 at 2:19 PM
Edward Jones Expands Equity-Style Awards to Thousands More Advisors

Edward D. Jones & Co. has expanded eligibility for its “profits interest” award, extending the equity-style incentive to thousands more advisors, according to a Securities and Exchange Commission filing reviewed by AdvisorHub.

Read More »

Wall Street Journal Analysis Questions Investor Gains Following DuPont's Decade-Long Breakup

Posted on February 19th, 2026 at 2:07 PM
Wall Street Journal Analysis Questions Investor Gains Following DuPont's Decade-Long Breakup

A Wall Street Journal analysis has raised questions about investor returns following DuPont’s multi-year corporate restructuring, which divided the historic conglomerate into multiple independent companies.

Read More »

American Portfolios Ordered to Pay $4.6 Million in Restitution Over Cash Sweep Program Disclosures

Posted on February 18th, 2026 at 10:50 AM
American Portfolios Ordered to Pay $4.6 Million in Restitution Over Cash Sweep Program Disclosures

The Financial Industry Regulatory Authority (FINRA) has ordered American Portfolios Financial Services to return $4.6 million to customers and pay monetary sanctions after determining that the firm overcharged investors and failed to properly disclose how it generated revenue through a cash sweep program.

Read More »

FINRA Fines Kingswood Capital Partners $150,000 for Supervisory Failures in GWG L Bond Sales

Posted on February 17th, 2026 at 3:47 PM
FINRA Fines Kingswood Capital Partners $150,000 for Supervisory Failures in GWG L Bond Sales

The Financial Industry Regulatory Authority (FINRA) censured and fined San Diego–based broker-dealer Kingswood Capital Partners $150,000 after finding supervisory failures tied to sales of high-risk GWG L bonds.

Read More »

FINRA Removes Arbitrators in Stifel Case, Drawing Scrutiny Over Impartiality Standards

Posted on February 16th, 2026 at 11:53 AM
FINRA Removes Arbitrators in Stifel Case, Drawing Scrutiny Over Impartiality Standards

FINRA agreed to remove two potential arbitrators from an upcoming Stifel Financial arbitration tied to former Miami-based broker Chuck Roberts, a move that could carry broad implications for investor arbitration.

Read More »

Cetera Fined $1.1 Million Over Supervisory and AML Deficiencies

Posted on February 13th, 2026 at 11:20 AM
Cetera Fined $1.1 Million Over Supervisory and AML Deficiencies

The Financial Industry Regulatory Authority (FINRA) has censured and fined Cetera Financial Group $1.1 million after identifying supervisory system and anti-money laundering (AML) failures across several subsidiary broker-dealers.

Read More »

CFTC Signals New Rulemaking for Prediction Markets and Crypto Oversight

Posted on February 12th, 2026 at 3:20 PM
CFTC Signals New Rulemaking for Prediction Markets and Crypto Oversight

The Commodity Futures Trading Commission (CFTC) plans to develop new regulations governing the growing prediction markets industry, Chairman Michael Selig announced, signaling a shift in regulatory strategy.

Read More »

TESTIMONIALS

Previous
Next

You guys are good!

Mike L.

LATEST NEWS AND ARTICLES

March 13, 2026
Connecticut Advisor Pleads Guilty to Ponzi-Like Investment Fraud and Tax Evasion

Federal prosecutors announced that investment adviser John A.

March 12, 2026
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.

March 11, 2026
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.