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Tagged with "eccleston"

SEC Warns Investors About Pre-IPO Investment Scams

Posted on September 23rd, 2026 at 1:00 PM
SEC Warns Investors About Pre-IPO Investment Scams

The SEC's Office of Investor Education and Advocacy (OIEA) has issued an Investor Alert warning investors about scams that falsely offer opportunities to purchase "pre-IPO" shares of companies.

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Wells Fargo Advisors Continue Manual Trading Amid Vendor Disruption

Posted on September 22nd, 2026 at 11:48 AM
Wells Fargo Advisors Continue Manual Trading Amid Vendor Disruption

Wells Fargo Advisors brokers continued placing trading orders by phone and email as a disruption involving an outside vendor persisted for a second week.

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Blackstone Limits Withdrawals From Blackstone Private Credit Fund

Posted on September 21st, 2026 at 12:34 PM
Blackstone Limits Withdrawals From Blackstone Private Credit Fund

Blackstone's flagship private credit fund faces continued pressure from investors seeking liquidity.

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SEC Sanctions Investment Adviser and Executive for Disproportionate Trade Allocations

Posted on September 18th, 2026 at 1:33 PM
SEC Sanctions Investment Adviser and Executive for Disproportionate Trade Allocations

The Securities and Exchange Commission (SEC) has determined that the conduct of registered investment advisory firm Barrington Asset Management, and its executive vice-president and chief compliance officer, Gregory Paris, disadvantaged clients and breached their fiduciary duties owed to clients.

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SEC Charges 38 Entities Over Allegedly Fraudulent Adviser Filings

Posted on September 17th, 2026 at 1:19 PM
SEC Charges 38 Entities Over Allegedly Fraudulent Adviser Filings

The Securities and Exchange Commission (SEC) charged 38 entities with allegedly making material misrepresentations in Forms ADV filed with the SEC between 2025 and 2026.

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Edelman Financial Engines Secures TRO Against Advisor Who Joined RFG Advisory

Posted on September 16th, 2026 at 4:08 PM
Edelman Financial Engines Secures TRO Against Advisor Who Joined RFG Advisory

Edelman Financial Engines recently secured a temporary restraining order (TRO) against Chad A.

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FINRA Suspends Former Northwestern Mutual Broker Over Customer Loans

Posted on September 15th, 2026 at 12:38 PM
FINRA Suspends Former Northwestern Mutual Broker Over Customer Loans

The Financial industry Regulatory Authority (FINRA) has suspended and fined a former Northwestern Mutual broker after he solicited two customers for loans to purchase another representative's book of business but instead used most of the money to pay personal expenses and other debt, according to an Acceptance, Waiver, and Consent (AWC) letter.

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SEC Considers Expanding Retail Access to Private Markets

Posted on September 14th, 2026 at 12:38 PM
SEC Considers Expanding Retail Access to Private Markets

The Securities and Exchange Commission (SEC) is considering a proposal that could expand retail investors' access to private markets and allow investment advisers to charge performance fees to a broader group of clients.

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SEC Considers Investor Test to Expand Accredited Investor Eligibility

Posted on September 11th, 2026 at 3:38 PM
SEC Considers Investor Test to Expand Accredited Investor Eligibility

The Securities and Exchange (SEC) Chairman Paul S.

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Advisors Emphasize Early Planning as Key Defense Against Elder Financial Exploitation

Posted on September 10th, 2026 at 12:56 PM
Advisors Emphasize Early Planning as Key Defense Against Elder Financial Exploitation

Elder financial exploitation has reached crisis levels, according to InvestmentNews.

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I just wanted to say thanks again for preparing and executing my case in such a professional manner. It was a pleasure to watch two professionals take such pride in their work, as well as becoming personally in tune with your client (Me). I would personally recommend you and your firm to anyone.

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LATEST NEWS AND ARTICLES

1793034027 Law
October 26, 2026
FINRA Bars Former Wedbush Broker Over $3.5 Million in Complex ETP Losses

The Financial Industry Regulatory Authority (FINRA) barred former Wedbush Securities broker William H.

1792610544 Law
October 21, 2026
FINRA Fines and Suspends Former LPL Broker Over Undisclosed Customer Settlement

The Financial Industry Regulatory Authority (FINRA) fined former LPL Financial broker Gregory W.

1792523173 Law
October 20, 2026
FINRA Orders American Portfolios to Pay $1.6 Million Over Unit Investment Trust Supervision Failures

The Financial Industry Regulatory Authority (FINRA) has ordered American Portfolios, the broker-dealer later absorbed into Osaic, to pay more than $1.6 million in restitution and fines over failures to supervise financial advisors who repeatedly recommended that customers sell unit investment trusts (UITs) before maturity.