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Tagged with "eccleston"

Merrill Lynch Settles Another NFL Player's Claim Related to Financial Advisor Isaiah Williams

Posted on July 21st, 2026 at 11:52 AM
Merrill Lynch Settles Another NFL Player's Claim Related to Financial Advisor Isaiah Williams

Merrill Lynch has agreed to pay $1.25 million to resolve claims brought by former NFL player Sean L.

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FINRA Arbitration Panel Awards Former J.P. Morgan Financial Advisor $4.25 Million in Defamation Case

Posted on July 20th, 2026 at 2:52 PM
FINRA Arbitration Panel Awards Former J.P. Morgan Financial Advisor $4.25 Million in Defamation Case

A Financial Industry Regulatory Authority (FINRA) arbitration panel awarded a former J.P.

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FINRA Arbitrators Award $2.25 Million Over Life Insurance Strategy

Posted on July 17th, 2026 at 11:52 AM
FINRA Arbitrators Award $2.25 Million Over Life Insurance Strategy

A former financial advisor must pay $2.25 million to clients who alleged he recommended a high-risk life insurance strategy that resulted in significant losses, according to a Financial Industry Regulatory Authority (FINRA) arbitration award.

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Delaware Judge Dismisses United Capital's Poaching Lawsuit Against Osaic With Leave to Amend

Posted on July 16th, 2026 at 3:07 PM
Delaware Judge Dismisses United Capital's Poaching Lawsuit Against Osaic With Leave to Amend

A Delaware judge has dismissed United Capital's lawsuit accusing Osaic of improperly recruiting financial advisors and soliciting client assets, but allowed the wealth management firm to file an amended complaint, according to AdvisorHub.

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LPL Financial Faces Class Action Over Phoenix Annuity Disclosures

Posted on July 15th, 2026 at 12:52 PM
LPL Financial Faces Class Action Over Phoenix Annuity Disclosures

LPL Financial faces a proposed class action lawsuit alleging that the firm failed to warn annuity investors about the declining financial condition of Phoenix PHL Variable Insurance Company.

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Mariner Wealth Advisors Reports Data Breach Affecting Nearly 9,000 Customers

Posted on July 14th, 2026 at 12:22 PM
Mariner Wealth Advisors Reports Data Breach Affecting Nearly 9,000 Customers

Mariner Wealth Advisors LLC disclosed a data breach that exposed personal information of 8,995 customers, according to AdvisorHub.

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FINRA Warns of Growing Risks From Finfluencers and AI-Driven Investment Content

Posted on July 13th, 2026 at 11:37 AM
FINRA Warns of Growing Risks From Finfluencers and AI-Driven Investment Content

Financial Industry Regulatory Authority (FINRA) regulators are raising concerns about the increasing influence of social media personalities and artificial intelligence (AI) on retail investors, particularly those managing their own investments without professional guidance.

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FINRA Suspends Former Branch Manager for Supervisory Failures Linked to Excessive Trading and Churning

Posted on July 9th, 2026 at 12:52 PM
FINRA Suspends Former Branch Manager for Supervisory Failures Linked to Excessive Trading and Churning

A former regional branch manager at a broker-dealer has agreed to Financial Industry Regulatory Authority (FINRA) sanctions after the regulator found that he failed to supervise registered representatives who engaged in excessive trading and churning of customer accounts.

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SEC Sanctions David Lerner Associates for Regulation Best Interest Violations

Posted on July 8th, 2026 at 11:52 AM
SEC Sanctions David Lerner Associates for Regulation Best Interest Violations

David Lerner Associates has agreed to settle Securities and Exchange (SEC) charges alleging violations of Regulation Best Interest (Reg BI) that resulted in unnecessary costs to retail investors, according to InvestmentNews.

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Private Credit Funds Face Mounting Redemption Pressure as Investor Sentiment Shifts

Posted on July 7th, 2026 at 10:23 AM
Private Credit Funds Face Mounting Redemption Pressure as Investor Sentiment Shifts

A surge in investor redemption requests has intensified pressure on private credit funds, raising concerns about liquidity and long-term stability across the asset class, as reported by The Wall Street Journal.

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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

1785949175 Law
August 5, 2026
FINRA Arbitration Panel Orders Arkadios Capital to Pay $2.7 Million in Ponzi Scheme-Related Claim

A Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered Arkadios Capital to pay $2.7 million in damages to an investor who alleged the firm failed to supervise a former registered representative whose father operated a long-running Ponzi scheme, according to InvestmentNews.

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.