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

Tagged with "eccleston"

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.

Read More »

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). 

Read More »

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. 

Read More »

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. 

Read More »

Merrill Lynch Advisor Penalized for CFP Exam Misconduct

Posted on December 13th, 2024 at 9:15 AM
Merrill Lynch Advisor Penalized for CFP Exam Misconduct

Jeffrey Dattilo, a former Merrill Lynch advisor, has agreed to regulatory penalties for allegedly providing improper assistance to others taking the Certified Financial Planner (CFP) exam.

Read More »

Paychex Securities Advisor Penalized for Undisclosed Referral Agreement with RIA

Posted on December 13th, 2024 at 8:59 AM
Paychex Securities Advisor Penalized for Undisclosed Referral Agreement with RIA

A former advisor has agreed to a $7,500 fine and a six-month suspension following allegations of failing to disclose a referral agreement with an outside registered investment advisory (RIA) firm.

Read More »

Brokerage Firms Shift Away from Centralized Portfolio Management as Advisor Autonomy Grows

Posted on December 11th, 2024 at 11:03 AM
Brokerage Firms Shift Away from Centralized Portfolio Management as Advisor Autonomy Grows

After years of promoting centralized portfolio management, brokerage firms are increasingly supporting advisors who prefer more control over investment decisions, according to AdvisorHub

Read More »

Former Wells Fargo Advisor Pleads Guilty to $3 Million Fraud Scheme

Posted on December 10th, 2024 at 11:18 AM
Former Wells Fargo Advisor Pleads Guilty to $3 Million Fraud Scheme

A former Wells Fargo advisor, Kenneth A. Welsh, has pleaded guilty to charges of wire fraud and investment advisor fraud after stealing over $3 million from his clients, according to WealthManagement.

Read More »

Court Dismisses Whistleblower Lawsuit Against Fidelity Investments

Posted on December 9th, 2024 at 11:14 AM
Court Dismisses Whistleblower Lawsuit Against Fidelity Investments

A federal court has dismissed a whistleblower lawsuit filed by a former financial advisor against Fidelity Investments. According to ThinkAdvisor, the case involves allegations that the company fired him for reporting unethical practices.

Read More »

Former Tesla and Lyft Executive Launches ETF Firm

Posted on December 6th, 2024 at 1:22 PM
Former Tesla and Lyft Executive Launches ETF Firm

Jon McNeill, a former executive at Tesla and Lyft and co-founder of venture firm DVx Ventures, has partnered with ETF pioneer Adam Patti to launch VistaShares, an asset management firm specializing in ETFs centered on artificial intelligence and electrification.

Read More »

TESTIMONIALS

Previous
Next
Quotes Bigger

 


It was really fun seeing you fight for us. You have an amazing way of thinking out of the box.


 

Beth M.

LATEST NEWS AND ARTICLES

1785949175 Law
August 5, 2026
FINRA Arbitration Panel Orders Arkadios Capital to Pay $2.7 Million in Ponzi Scheme-Related Claim

A Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered Arkadios Capital to pay $2.7 million in damages to an investor who alleged the firm failed to supervise a former registered representative whose father operated a long-running Ponzi scheme, according to InvestmentNews.

1785858278 Law
August 4, 2026
SEC Fines Former LPL Broker $125,000 for Undisclosed Conflicts in Private Securities Offerings

The Securities and Exchange Commission (SEC) has censured a former LPL Financial broker and imposed a $125,000 civil penalty after finding that he failed to disclose conflicts of interest related to private real estate securities offerings that generated nearly $1.5 million in compensation, as reported by AdvisorHub.

1785772777 Law
August 3, 2026
FINRA Launches Review of High-Risk Structured Notes Sales and Supervision

The Financial Industry Regulatory Authority (FINRA) has launched a regulatory sweep examining the sale of high-risk structured products, with particular attention on non-principal protected "worst-of" structured notes, according to AdvisorHub.