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

Tagged with "eccleston"

James Eccleston Awarded Spot in 2025 Illinois Super Lawyers List

Posted on January 21st, 2025 at 3:00 PM
James Eccleston Awarded Spot in 2025 Illinois Super Lawyers List

Attorney James Eccleston has been selected for the 2025 Illinois Super Lawyers List, an honor given exclusively to lawyers who exhibit excellence in their practice. 

Read More »

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 »

TESTIMONIALS

Previous
Next
Quotes Bigger

I want to thank you for your excellent professional representation. It was greatly appreciated.

Michael M.

LATEST NEWS AND ARTICLES

1777663103 Law
May 1, 2026
Former Texas Advisor Pleads Guilty in Multi-Million Dollar Ponzi Scheme

A former financial advisor and media personality in San Antonio has admitted to defrauding clients in a large-scale Ponzi scheme involving hundreds of investors and millions of dollars, according to reporting by Financial Advisor News.

1777565671 Law
April 30, 2026
SEC Charges Adviser's Estate and Firm in Alleged $1.68 Million Client Fund Misappropriation Scheme

The Securities and Exchange Commission has filed a civil enforcement action against the estate of former investment adviser John R.

1777479103 Law
April 29, 2026
Hightower Advisors Faces Class Action Over Alleged Data Breach

Hightower Holding LLC is facing a class action lawsuit alleging that the firm failed to protect sensitive personal information following a data breach affecting thousands of individuals, according to reporting by Financial Advisor News.