Tagged with "eccleston"

SEC Awards Over $28 Million to Whistleblowers

Posted on January 12th, 2024 at 1:21 PM
SEC Awards Over $28 Million to Whistleblowers

The Securities and Exchange Commission (SEC) has granted awards totaling more than $28 million to seven individuals who played a pivotal role in a successful SEC enforcement action.

Read More »

Goldman Sachs Reports Garden Leave Violations on CRDs of Former PFM Advisors

Posted on January 11th, 2024 at 1:28 PM
Goldman Sachs Reports Garden Leave Violations on CRDs of Former PFM Advisors

Goldman Sachs has introduced further challenges for former advisors of its Personal Financial Management (PFM) unit who departed for competitors before the unit's sale to Creative Planning in November.

Read More »

SEC Secures Receiver for GPB Capital Holdings Following Alleged Deceptive Practices

Posted on January 10th, 2024 at 2:20 PM
SEC Secures Receiver for GPB Capital Holdings Following Alleged Deceptive Practices

The U.S. District Court for the Eastern District of New York approved the SEC's request to transition the ongoing monitorship over GPB Capital Holdings, LLC and its affiliates into a receivership.

Read More »

Regulatory Concerns Mount as Wells Fargo Faces Criticism for Insufficient Oversight of Customer Crimes

Posted on January 9th, 2024 at 2:11 PM
Regulatory Concerns Mount as Wells Fargo Faces Criticism for Insufficient Oversight of Customer Crimes

Wells Fargo is under regulatory scrutiny. According to the Wall Street Journal, regulators have directed the bank to enhance its capabilities in detecting and preventing criminal activity associated with its accounts or products.

Read More »

JPMorgan Faces Allegations in $50 Million Wealth Loss Case by 78 Year Old Investor with Dementia

Posted on January 8th, 2024 at 2:47 PM
JPMorgan Faces Allegations in $50 Million Wealth Loss Case by 78 Year Old Investor with Dementia

A successful entrepreneur who had entrusted JPMorgan Chase & Co. with his substantial wealth, once valued at $50 million and now valued at $1.5 million, has sued JPMorgan.

Read More »

SEC Approves Eased Oversight Guidelines for Remote Advisors

Posted on January 5th, 2024 at 1:34 PM
SEC Approves Eased Oversight Guidelines for Remote Advisors

Advisors opting for home offices received a nod from the Securities and Exchange Commission (SEC) as it greenlit rules permitting remote inspections of advisors' offices.

Read More »

Alternative Liquidity Capital Proposes Tender Offer for Shares of Closed Wildermuth Fund

Posted on January 4th, 2024 at 2:39 PM
Alternative Liquidity Capital Proposes Tender Offer for Shares of Closed Wildermuth Fund

Liquidity Index LP, an affiliated Delaware limited partnership of Alternative Liquidity Capital, has offered to acquire up to 238,000 Class I shares of The Wildermuth Fund.

Read More »

SEC Imposes Fines on Advisors for Regulation best Interest (Reg BI) Violations

Posted on January 3rd, 2024 at 11:52 AM
SEC Imposes Fines on Advisors for Regulation best Interest (Reg BI) Violations

The Securities and Exchange Commission (SEC) has sanctioned two Laidlaw advisors, Richard Michalski and Michael Murray, for violating Regulation Best Interest's care obligation by making recommendations to four retail customers without a reasonable basis.

Read More »

Morgan Stanley Agrees to Fine for Failure to Provide Fund Disclosures

Posted on January 2nd, 2024 at 1:16 PM
Morgan Stanley Agrees to Fine for Failure to Provide Fund Disclosures

Morgan Stanley has agreed to a censure and a $400,000 fine following a Financial Industry Regulatory Authority (FINRA) investigation, which revealed the failure to deliver prospectuses to approximately 44,000 accounts invested in specific exchange-traded funds (ETFs).

Read More »

SEC Unmasks Connecticut-Based Adviser's $5.9 Million Fraud Scheme

Posted on January 2nd, 2024 at 11:45 AM
SEC Unmasks Connecticut-Based Adviser's $5.9 Million Fraud Scheme

The Securities and Exchange Commission (SEC) has unveiled a case of alleged fraud involving Connecticut-based unregistered investment adviser John A. Masanotti, Jr., and his company, Middlesex Mortgage Group LLC.

Read More »

TESTIMONIALS

Previous
Next

I learned two important things working with Eccleston Law. First, I made a friend and ally with Jim and Steph for life. Secondly, and this is a crucial life lesson - if you need counsel, then seek out the very best. Jim was referred to me by a most trusted source. I've never had to hire an attorney for anything. Now, I know the value of hiring an important partner. Meticulous, thorough and detailed in preparation is the best way to describe Jim. Brilliant too, I might add. Bottom line, I would highly highly recommend Jim and Stephany for your legal needs. One of the best life decisions I've ever made.

Howard S.

LATEST NEWS AND ARTICLES

September 19, 2025
Financial Advisors Split on AI Adoption

Artificial Intelligence (AI) continues to dominate headlines, promising sweeping efficiencies in nearly every industry. Financial Planning reports that financial advisors remain divided on its role and value.

September 18, 2025
Easterly ROCMuni Fund Collapse Triggers Investor Lawsuits

The Easterly ROCMuni High Income Municipal Bond Fund (tickers RMHIX, RMHVX, RMJAX) suffered a significant collapse in mid-2025, wiping out hundreds of millions in value and leaving many investors with steep losses.

September 17, 2025
FINRA Suspends Centaurus Dallas Broker Over Excessive Alternative Investment Sales

FINRA has suspended a Centaurus Financial broker, William Burks, for four months after finding he placed as much as 91 percent of a client’s net worth into illiquid alternative investments.