Tagged with "eccleston"

CFP Board Seeks Public Input on Changes to Certification Rules

Posted on April 8th, 2025 at 9:21 AM
CFP Board Seeks Public Input on Changes to Certification Rules

The CFP Board is requesting public comment on proposed revisions to its procedural rules regarding certification eligibility for candidates with a single bankruptcy or multiple misdemeanor convictions related to alcohol or drug offenses.

Read More »

CFTC Unveils New Guidelines to Reward Cooperation and Self-Reporting in Enforcement Actions

Posted on April 7th, 2025 at 2:07 PM
CFTC Unveils New Guidelines to Reward Cooperation and Self-Reporting in Enforcement Actions

The U.S. Commodity Futures Trading Commission (CFTC) has issued a new advisory that formalizes how it will evaluate cooperation and self-reporting when determining penalties in enforcement matters. According to InvestmentNews, acting Chairman Caroline Pham announced the move as part of a broader shift in the agency’s enforcement posture, aimed at incentivizing faster case resolution and more reasonable penalties.

Read More »

LPL Financial Experiences Trading System Outage Amid Market Volatility

Posted on April 4th, 2025 at 11:49 AM
LPL Financial Experiences Trading System Outage Amid Market Volatility

LPL Financial, the largest independent broker-dealer in the U.S., experienced widespread system outages on April 3rd, preventing advisors from executing trades for hours.

Read More »

FINRA Seeks Public Input on Rule Modernization

Posted on April 3rd, 2025 at 2:26 PM
FINRA Seeks Public Input on Rule Modernization

The Financial Industry Regulatory Authority (FINRA) is conducting a comprehensive review of its rules and is soliciting feedback from industry participants. According to ThinkAdvisor, the review aims to modernize regulations, particularly concerning remote work and branch office requirements.

Read More »

Bybit Suffers Massive $1.5 Billion Crypto Hack Amid Security Concerns

Posted on April 2nd, 2025 at 3:04 PM
Bybit Suffers Massive $1.5 Billion Crypto Hack Amid Security Concerns

Bybit, a major cryptocurrency exchange, has fallen victim to a devastating security breach, resulting in the theft of approximately $1.5 billion in Ethereum.

Read More »

CFP Board Releases AI Ethics Guide for Its Certificants

Posted on April 1st, 2025 at 3:43 PM
CFP Board Releases AI Ethics Guide for Its Certificants

The CFP Board has released a "Generative AI Ethics Guide" to address the growing use of artificial intelligence in financial advising.

Read More »

Margin Debt Hits Record Highs

Posted on March 31st, 2025 at 12:24 PM
Margin Debt Hits Record Highs

Investors' use of margin trading has surged to unprecedented levels, with debit balances in margin accounts reaching a record $937 billion as of January 2025, according to FINRA.

Read More »

FINRA Arbitration Orders Stifel to Pay $133 Million Over Broker's Structured Note Strategy

Posted on March 28th, 2025 at 12:11 PM
FINRA Arbitration Orders Stifel to Pay $133 Million Over Broker's Structured Note Strategy

A FINRA arbitration panel has ordered Stifel Financial’s retail broker-dealer to pay nearly $133 million in damages related to a structured note investment strategy promoted by Miami-based broker Chuck A. Roberts.

Read More »

FINRA Fines Robinhood $26 Million for Compliance Failures

Posted on March 27th, 2025 at 11:21 AM
FINRA Fines Robinhood $26 Million for Compliance Failures

According to Barron’s, FINRA has fined Robinhood Financial and Robinhood Securities $26 million for multiple rule violations, including failures in anti-money laundering compliance, inadequate supervision of trading technology, and misleading customer communications.

Read More »

Former Edward Jones Advisor Barred After Refusing to Cooperate with FINRA Investigation

Posted on March 26th, 2025 at 2:11 PM
Former Edward Jones Advisor Barred After Refusing to Cooperate with FINRA Investigation

A former Edward Jones advisor, James A. Bowman, has accepted an industry bar rather than cooperate with a Financial Industry Regulatory Authority (FINRA) investigation into allegations that he reimbursed clients for losses in their accounts.

Read More »

TESTIMONIALS

Previous
Next

 


It was really fun seeing you fight for us. You have an amazing way of thinking out of the box.


 

Beth M.

LATEST NEWS AND ARTICLES

February 12, 2026
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.

February 11, 2026
Ameriprise Advisor Phishing Incident Potentially Exposes Client Data

A phishing incident involving an Ameriprise Financial advisor potentially exposed the personal information of hundreds of clients, according to a disclosure posted by the Maine Attorney General’s office.

February 10, 2026
Merrill Lynch Expands Client Disclosures on Crypto and AI Risks

Merrill Lynch updated its required client disclosure brochure to address, for the first time, the evolving risks tied to cryptocurrency-linked investments and the firm’s expanding use of Artificial Intelligence tools.