Tagged with "eccleston"

JPMorgan Fined $1.8 Million by Singapore Regulator for Misconduct in Bond Transactions

Posted on January 6th, 2025 at 12:11 PM
JPMorgan Fined $1.8 Million by Singapore Regulator for Misconduct in Bond Transactions

The Monetary Authority of Singapore (MAS) fined JPMorgan Chase & Co. $1.8 million for failing to prevent and detect misconduct by its relationship managers during 24 over-the-counter (OTC) bond transactions between November 2018 and September 2019.

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Next Level Holdings and Yield Wealth Under Federal and State Investigation

Posted on January 3rd, 2025 at 12:06 PM
Next Level Holdings and Yield Wealth Under Federal and State Investigation

Federal and state authorities are investigating Next Level Holdings and Yield Wealth, two investment firms accused of offering high-yield financial products now facing significant turmoil, according to the Wall Street Journal

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Goldman Sachs Launches First-of-its-Kind Bond Securitization

Posted on January 2nd, 2025 at 11:40 AM
Goldman Sachs Launches First-of-its-Kind Bond Securitization

Goldman Sachs recently introduced a $475 million asset-backed securitization (ABS) deal backed by capital-call loans, a type of financing Goldman provides to fund managers for immediate capital access.

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James Eccleston Named Leading Lawyer for 2025

Posted on January 2nd, 2025 at 11:00 AM
James Eccleston Named Leading Lawyer for 2025

James Eccleston has been officially recognized by peers as a Leading Lawyer for 2025!

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Understanding Alternative Investments and Risk Management

Posted on December 23rd, 2024 at 3:13 PM
Understanding Alternative Investments and Risk Management

Alternative investments once again are gaining traction, according to a recent article in InvestmentNews

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FINRA Sanctions Over 60 Advisors for Continuing Education Violations

Posted on December 20th, 2024 at 5:17 PM
FINRA Sanctions Over 60 Advisors for Continuing Education Violations

FINRA has disciplined 62 advisors for cheating on New York’s continuing education (CE) requirements tied to insurance license renewals. 

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GPB Capital Investors See Progress as Court Confirms Receivership

Posted on December 19th, 2024 at 1:08 PM
GPB Capital Investors See Progress as Court Confirms Receivership

In a significant development for investors in GPB Capital Holdings, the private equity firm will move into receivership following a prolonged legal battle.

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SEC Fines Cantor Fitzgerald $6.75 Million for Misleading SPAC Investors

Posted on December 18th, 2024 at 10:53 AM
SEC Fines Cantor Fitzgerald $6.75 Million for Misleading SPAC Investors

The Securities and Exchange Commission (SEC) has charged Cantor Fitzgerald, L.P. with causing two special purpose acquisition companies (SPACs) under its control to make misleading statements to investors before their initial public offerings (IPOs). 

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Former Western Asset Management Co-CIO Charged with Fraud for Cherry-picking Trades

Posted on December 17th, 2024 at 10:58 AM
Former Western Asset Management Co-CIO Charged with Fraud for Cherry-picking Trades

The SEC recently charged Ken Leech, former Co-CIO of Western Asset Management, with fraud. 

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Wells Fargo Advisors Tightens Rules on FiNet Advisors' Outside Investments

Posted on December 16th, 2024 at 11:22 AM
Wells Fargo Advisors Tightens Rules on FiNet Advisors' Outside Investments

Wells Fargo Advisors has introduced a new policy requiring advisors in its Financial Network (FiNet) channel to seek company approval before accepting certain outside investments. 

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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.

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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
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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.