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Tagged with "eccleston"

Hightower Advisors Faces Class Action Over Alleged Data Breach

Posted on April 29th, 2026 at 12:11 PM
Hightower Advisors Faces Class Action Over Alleged Data Breach

Hightower Holding LLC is facing a class action lawsuit alleging that the firm failed to protect sensitive personal information following a data breach affecting thousands of individuals, according to reporting by Financial Advisor News.

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Former Morgan Stanley Advisor Faces Trial Over Alleged Scheme Targeting NBA Players

Posted on April 28th, 2026 at 11:43 AM
Former Morgan Stanley Advisor Faces Trial Over Alleged Scheme Targeting NBA Players

A former Morgan Stanley financial advisor is charged with defrauding professional basketball players through complex investment transactions involving viatical settlements, according to reporting by InvestmentNews.

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Blackstone's Private Credit Fund (BCRED) Meets Record Redemption Demand

Posted on April 27th, 2026 at 12:58 PM
Blackstone's Private Credit Fund (BCRED) Meets Record Redemption Demand

Blackstone Inc.

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Geopolitical Tensions Prompt Wealth Advisors to Rethink Dubai Strategies

Posted on April 24th, 2026 at 12:13 PM
Geopolitical Tensions Prompt Wealth Advisors to Rethink Dubai Strategies

Recent geopolitical developments have forced wealth advisors to reassess client exposure to Dubai, a jurisdiction that has attracted significant ultra-high-net-worth capital over the past decade.

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Advisor Recruiting Surges in 2025 as Industry Movement Reaches New Highs

Posted on April 23rd, 2026 at 12:59 PM
Advisor Recruiting Surges in 2025 as Industry Movement Reaches New Highs

Advisor movement across the wealth management industry accelerated sharply in 2025, with 11,172 experienced financial advisors changing firms, according to reporting by Wealth Management citing the latest Advisor Transition Report from Diamond Consultants.

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FINRA Suspends Former Cape Securities CCO for Supervision Failures Tied to GWG L Bonds and Complex ETPs

Posted on April 20th, 2026 at 2:03 PM
FINRA Suspends Former Cape Securities CCO for Supervision Failures Tied to GWG L Bonds and Complex ETPs

The Financial Industry Regulatory Authority (FINRA) recently suspended and fined Lester Joel Hochler, the former Chief Compliance Officer of Cape Securities Inc., for failing to reasonably supervise recommendations of speculative debt securities and complex exchange-traded products to retail customers.

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Florida Advisor Sentenced to 90 Months for Foreign Currency Ponzi Scheme and Tax Evasion

Posted on April 17th, 2026 at 11:10 AM
Florida Advisor Sentenced to 90 Months for Foreign Currency Ponzi Scheme and Tax Evasion

A federal court sentenced John A.

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Former Financial Advisor Pleads Guilty to $10 Million Fraud Scheme Targeting Elderly Client

Posted on April 16th, 2026 at 11:27 AM
Former Financial Advisor Pleads Guilty to $10 Million Fraud Scheme Targeting Elderly Client

A former financial advisor has pleaded guilty to wire fraud after orchestrating a scheme that stole nearly $10 million from an elderly client, according to reporting by Financial Advisor News.

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Court Issues Split Ruling in Edelman Advisor Dispute

Posted on April 15th, 2026 at 4:55 PM
Court Issues Split Ruling in Edelman Advisor Dispute

A federal court in Delaware has delivered a mixed decision in a dispute between Edelman Financial Engines and Prime Capital Financial, underscoring the legal limits of restrictive covenants in the advisory space.

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TESTIMONIALS

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Hiring Eccleston Law has been one of the best career decisions I have made and this "investment" to maintain my sterling regulatory record has been returned many times over.  If you are in a situation where you've been unfairly accused, don't hesitate to talk with Eccleston Law. They are the best.

Thomas C.

LATEST NEWS AND ARTICLES

1778685786 Law
May 13, 2026
FINRA Fines J.P. Morgan Securities $3.25 Million Over Supervisory Failures in High-Risk Strategy

The Financial Industry Regulatory Authority (FINRA) has sanctioned J.P.

1778601835 Law
May 12, 2026
UBS Shifts SMA Oversight In-House, Discloses Potential Conflicts

UBS Wealth Management USA has begun restructuring how it manages separately managed accounts ("SMAs"), moving key oversight functions in-house and aligning its model more closely with competitors, according to reporting by AdvisorHub.

1778521728 Law
May 11, 2026
Private Credit Funds Face Rising Redemptions and Valuation Scrutiny

Investor pressure on private credit funds continues to intensify as redemption requests increase and concerns emerge over how firms value underlying loan portfolios.