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Tagged with "eccleston"

LPL and Ameriprise Notify Clients of Cybersecurity Incidents Involving Account Access

Posted on March 18th, 2026 at 12:28 PM
LPL and Ameriprise Notify Clients of Cybersecurity Incidents Involving Account Access

LPL Financial and Ameriprise Financial Services recently notified certain clients about separate cybersecurity incidents that exposed private information and, in one case, led to unauthorized trading activity.

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Bankruptcy Court Orders Emerson Equity to Produce Records in Inspired Healthcare Case

Posted on March 17th, 2026 at 11:13 AM
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.

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Concorde Investment Services Faces Scrutiny Over Sales of Inspired Healthcare Private Investments

Posted on March 16th, 2026 at 12:32 PM
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.

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Connecticut Advisor Pleads Guilty to Ponzi-Like Investment Fraud and Tax Evasion

Posted on March 13th, 2026 at 10:32 AM
Connecticut Advisor Pleads Guilty to Ponzi-Like Investment Fraud and Tax Evasion

Federal prosecutors announced that investment adviser John A.

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Cape Coral Becomes Ground Zero for Private Lending Strains in Post-Pandemic Housing Market

Posted on March 12th, 2026 at 11:17 AM
Cape Coral Becomes Ground Zero for Private Lending Strains in Post-Pandemic Housing Market

Cape Coral, Florida, long a magnet for out-of-state real estate investors, now illustrates the growing risks of private lending in residential development.

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SEC and Commonwealth Financial Network Move Toward Settlement in Revenue Sharing Disclosure Case

Posted on March 11th, 2026 at 11:17 AM
SEC and Commonwealth Financial Network Move Toward Settlement in Revenue Sharing Disclosure Case

The Securities and Exchange Commission (SEC) and Commonwealth Financial Network notified a federal court that they are attempting to resolve a long running enforcement dispute involving alleged disclosure failures tied to revenue sharing payments, according to ThinkAdvisor.

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Northern Trust Faces $35 Million Elder Abuse Lawsuit Over Alleged Trust Theft

Posted on March 10th, 2026 at 10:48 AM
Northern Trust Faces $35 Million Elder Abuse Lawsuit Over Alleged Trust Theft

Northern Trust faces a lawsuit seeking at least $35 million in damages over allegations that its former vice president stole millions from a $20 million legacy trust belonging to an elderly beneficiary, according to ThinkAdvisor.

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SEC Alerts Investors as to the Relationship Investment Scam

Posted on March 9th, 2026 at 1:04 PM
SEC Alerts Investors as to the Relationship Investment Scam

The Securities and Exchange Commission (SEC) has alerted investors that fraudsters increasingly rely on relationship-based investment schemes to steal money.

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Modern Fraud Schemes Escalate in Scale and Sophistication

Posted on March 4th, 2026 at 12:37 PM
Modern Fraud Schemes Escalate in Scale and Sophistication

A recent panel discussion at the Financial Services Institute OneVoice conference in San Diego highlighted how rapidly evolving fraud schemes continue to victimize both retail and wealthy investors.

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FINRA Suspends Former Stifel Broker Over Costly Account Switching Trades

Posted on March 3rd, 2026 at 2:00 PM
FINRA Suspends Former Stifel Broker Over Costly Account Switching Trades

The Financial Industry Regulatory Authority (FINRA) suspended a former Stifel, Nicolaus & Co.

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TESTIMONIALS

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Hiring Eccleston Law has been one of the best career decisions I have made and this "investment" to maintain my sterling regulatory record has been returned many times over.  If you are in a situation where you've been unfairly accused, don't hesitate to talk with Eccleston Law. They are the best.

Thomas C.

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.