Tr?id=566623520170033&ev=PageView&noscript=1

Tagged with "eccleston"

Margin Debt Hits $1 Trillion as Investor Risk Appetite Surges

Posted on August 12th, 2025 at 2:13 PM
Margin Debt Hits $1 Trillion as Investor Risk Appetite Surges

According to Barron’s, investors are borrowing against their portfolios at record levels.

Read More »

FINRA Suspends Broker for Impersonating Clients During Account Transfers

Posted on August 11th, 2025 at 11:51 AM
FINRA Suspends Broker for Impersonating Clients During Account Transfers

Chad M. Rogers, a former broker with Independent Financial Partners (IFP) in Oklahoma City, received a 45-day suspension and a $5,000 fine from FINRA after impersonating clients during phone calls to facilitate account transfers.

Read More »

SEC Overturns FINRA Bar Against Former Rep, Issues Immediate Suspension Instead

Posted on August 8th, 2025 at 1:41 PM
SEC Overturns FINRA Bar Against Former Rep, Issues Immediate Suspension Instead

In a rare move, the Securities and Exchange Commission (SEC) has scaled back an industry bar by the Financial Industry Regulatory Authority (FINRA) against former rep Thomas Lykos Jr., converting the sanction into a suspension that ended immediately upon the SEC's decision.

Read More »

FINRA Panel Awards $160K in Broker Poaching Dispute Between Former Ameriprise Teammates

Posted on August 7th, 2025 at 4:23 PM
FINRA Panel Awards $160K in Broker Poaching Dispute Between Former Ameriprise Teammates

A FINRA arbitration panel has ordered Kraig R. Bode, an independent broker now affiliated with Sanctuary Wealth, to pay $160,000 in damages to his former teammate, Seth C. Murray, stemming from allegations of client solicitation following Bode’s departure from Ameriprise Financial in October 2021.

Read More »

Ex-Schwab Representative Suspended Two Years and Fined for Concealing Profit-Sharing Agreement

Posted on August 6th, 2025 at 11:46 AM
Ex-Schwab Representative Suspended Two Years and Fined for Concealing Profit-Sharing Agreement

The Financial Industry Regulatory Authority (FINRA) has suspended former Charles Schwab & Co. Inc. representative Daniel Michael Roper for two years.

Read More »

Second Circuit Rejects Morgan Stanley's Bid to Overturn ERISA Ruling

Posted on August 5th, 2025 at 2:25 PM
Second Circuit Rejects Morgan Stanley's Bid to Overturn ERISA Ruling

Morgan Stanley has once again hit a roadblock in its effort to overturn a federal court decision that applies the Employee Retirement Income Security Act of 1974 (ERISA) protections to its deferred compensation plan.

Read More »

FINRA Bars Former Stifel Broker Amid $133 Million Arbitration Fallout

Posted on August 4th, 2025 at 11:15 AM
FINRA Bars Former Stifel Broker Amid $133 Million Arbitration Fallout

The Financial Industry Regulatory Authority (FINRA) has barred former Stifel Financial broker Chuck A. Roberts after a wave of investor complaints linked to his sale of structured products culminated in a $133 million arbitration award and tens of millions in additional settlements.

Read More »

FINRA Bars Former Jefferies Advisor After Refusal to Cooperate with Regulatory Probe

Posted on August 1st, 2025 at 11:23 AM
FINRA Bars Former Jefferies Advisor After Refusal to Cooperate with Regulatory Probe

Nicholas Coubrough, a former wealth advisor with Jefferies Financial Group Inc. in Miami, has been permanently barred from the securities industry following his refusal to cooperate with an investigation by the Financial Industry Regulatory Authority (FINRA).

Read More »

Florida Attorney General Targets RAD Diversified REIT Over Suspected Ponzi Scheme

Posted on July 31st, 2025 at 3:38 PM
Florida Attorney General Targets RAD Diversified REIT Over Suspected Ponzi Scheme

Florida Attorney General James Uthmeier has launched an aggressive investigation into RAD Diversified REIT, Inc., its subsidiaries, and its owners, Brandon “Dutch” Mendenhall and Amy Vaughn, for allegedly violating Florida’s Deceptive and Unfair Trade Practices Act and other state laws.

Read More »

Florida Woman Arrested in $2.6 Million Theft Scheme Tied to Former Merrill Lynch Advisor

Posted on July 30th, 2025 at 11:14 AM
Florida Woman Arrested in $2.6 Million Theft Scheme Tied to Former Merrill Lynch Advisor

A Florida woman faces multiple felony charges for allegedly helping a former Merrill Lynch advisor steal millions from a high-profile NFL client, as reported by AdvisorHub.

Read More »

TESTIMONIALS

Previous
Next
Quotes Bigger

This was the best of all possible outcomes and I cannot thank you and the team enough.

Michael S.

LATEST NEWS AND ARTICLES

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.

1785531573 Law
July 31, 2026
Former Alabama Financial Advisor Barred After Selling His Practice

The U.S.