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

Tagged with "eccleston"

Wells Fargo and LPL Financial Settle SEC Charges Over Blue Sheet Reporting Errors

Posted on January 20th, 2025 at 3:36 PM
Wells Fargo and LPL Financial Settle SEC Charges Over Blue Sheet Reporting Errors

The Securities and Exchange Commission (SEC) announced settlements with Wells Fargo Clearing Services and LPL Financial, each agreeing to pay a $900,000 penalty for failing to provide complete and accurate securities trading information, also known as electronic blue sheet data. 

Read More »

FINRA Suspends and Fines Advisor for Misleading L Bond Sales

Posted on January 17th, 2025 at 2:30 PM
FINRA Suspends and Fines Advisor for Misleading L Bond Sales

The Financial Industry Regulatory Authority (FINRA) has suspended and fined Alan Mason for violating Regulation Best Interest by recommending high-risk L bonds to a retail customer.

Read More »

Former Merrill Lynch Advisor Wins Expungement of Allegations Tied to CBD Business

Posted on January 16th, 2025 at 11:43 AM
Former Merrill Lynch Advisor Wins Expungement of Allegations Tied to CBD Business

Charles Thomas “Todd” Mercer Jr., a former top Merrill Lynch advisor, successfully cleared his public record of allegations that hindered his ability to attract clients after transitioning to an independent practice. 

Read More »

Attorney Eccleston Receives 2025 Top-Rated Lawyer Recognition

Posted on January 16th, 2025 at 10:51 AM
Attorney Eccleston Receives 2025 Top-Rated Lawyer Recognition

James Eccleston has been recognized as a top-rated lawyer with a superb attorney rating in 2025 by the Martindale-Avvo legal community.

Read More »

SEC Charges Nigerian Trio for Impersonating Financial Professionals in $2.9 Million Fraud Scheme

Posted on January 15th, 2025 at 2:29 PM
SEC Charges Nigerian Trio for Impersonating Financial Professionals in $2.9 Million Fraud Scheme

The Securities and Exchange Commission (SEC) has charged three individuals from Nigeria with orchestrating an elaborate online fraud scheme, stealing the identities of licensed financial advisors and investment advisers to defraud retail investors of over $2.9 million.

Read More »

Jefferies Financial Group Terminates Employment of Miami Team for Alleged Misconduct

Posted on January 14th, 2025 at 2:36 PM
Jefferies Financial Group Terminates Employment of Miami Team for Alleged Misconduct

According to Form U-5 filings, Jefferies Financial Group recently terminated a group of Miami-based wealth advisors allegedly after uncovering improper money transfers and attempts to conceal the activity through off-channel communications. The firm dismissed Marcelo Poliak, Rodrigo Soto, Guillermo Guerra, Pablo Gherardi, and four other team members over “impermissible money-wire transfers” and “deleted” communications.

Read More »

Former Merrill Lynch Executives Launch Indivisible Partners, a New Independent Advisory Firm

Posted on January 13th, 2025 at 3:11 PM
Former Merrill Lynch Executives Launch Indivisible Partners, a New Independent Advisory Firm

John W. Thiel, the former head of Merrill Lynch Wealth Management, has announced plans to launch Indivisible Partners, an independent registered investment advisory (RIA) firm, in early 2025. 

 

Read More »

FINRA Arbitration Panel Clears Advisor's Record of Defamatory Allegations

Posted on January 10th, 2025 at 2:14 PM
FINRA Arbitration Panel Clears Advisor's Record of Defamatory Allegations

A FINRA arbitration panel has ruled in favor of Mary J. Howard, a former RBC Wealth Management advisor, allowing her to expunge defamatory allegations from her Form U-5 termination record.

Read More »

Former Advisor Faces Lawsuit Over Mishandling of Premium-Financed Life Insurance Plan

Posted on January 9th, 2025 at 2:32 PM
Former Advisor Faces Lawsuit Over Mishandling of Premium-Financed Life Insurance Plan

Joshua L. Gottlieb, barred by FINRA in 2017, faces a lawsuit alleging significant financial harm to a client following the sale of a premium-financed indexed universal life (IUL) insurance program. 

Read More »

Merrill Lynch Agrees to $4.9 Million Settlement in Overtime Pay Dispute

Posted on January 8th, 2025 at 2:03 PM
Merrill Lynch Agrees to $4.9 Million Settlement in Overtime Pay Dispute

Merrill Lynch will pay $4.9 million to resolve a class action lawsuit filed by current and former salaried Financial Solutions Advisors (FSAs) who alleged the firm wrongfully denied them overtime pay. As reported by AdvisorHub, a Florida state judge recently approved the settlement, which will compensate eligible FSAs who worked at the firm over the past three years.

Read More »

TESTIMONIALS

Previous
Next
Quotes Bigger

I am so glad I found you! Wow! I appreciate your help, concern and guidance.

RB

LATEST NEWS AND ARTICLES

1773760408 Law
March 17, 2026
Bankruptcy Court Orders Emerson Equity to Produce Records in Inspired Healthcare Case

A federal bankruptcy court in Fort Worth has ordered Emerson Equity to produce documents connected to the sale of private securities issued by Inspired Healthcare Capital, according to InvestmentNews.

1773678753 Law
March 16, 2026
Concorde Investment Services Faces Scrutiny Over Sales of Inspired Healthcare Private Investments

Concorde Investment Services is facing increased scrutiny following the bankruptcy of Inspired Healthcare Capital, whose private investment offerings were widely sold through independent broker dealers, according to InvestmentNews.

1773412367 Law
March 13, 2026
Connecticut Advisor Pleads Guilty to Ponzi-Like Investment Fraud and Tax Evasion

Federal prosecutors announced that investment adviser John A.