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

Tagged with "eccleston"

FINRA Arbitration Awards $100,000 to Investor Over Unsuitable GWG L Bonds

Posted on June 5th, 2024 at 10:57 AM
FINRA Arbitration Awards $100,000 to Investor Over Unsuitable GWG L Bonds

In a recent FINRA arbitration, an investor was awarded close to $100,000 due to unsuitable investments in GWG L bonds purchased in 2018 and 2020.

Read More »

SEC Files Charges Against Robert M.Thompson and Financial Freedom Foundation

Posted on June 4th, 2024 at 1:13 PM
SEC Files Charges Against Robert M.Thompson and Financial Freedom Foundation

The U.S. Securities and Exchange Commission (SEC) has taken legal action against Robert M. Thompson and Financial Freedom Foundation (F3 Mastermind), a private entity under his control, for allegedly defrauding investors through three securities offerings.

Read More »

Bank Sues Founders of Precedent Wealth

Posted on June 3rd, 2024 at 4:08 PM
Bank Sues Founders of Precedent Wealth

Cadence Bank has filed a lawsuit against the founders of Precedent Wealth, a San Antonio RIA, accusing them of stealing confidential information and trade secrets in an effort to poach clients from their former firm.

Read More »

Advisor Ordered to Pay $2.6 Million in Damages for Breaching Asset Purchase Agreement

Posted on May 31st, 2024 at 2:13 PM
Advisor Ordered to Pay $2.6 Million in Damages for Breaching Asset Purchase Agreement

A FINRA arbitration panel has ordered Nicole E. Sennett to pay $2,557,000 in compensatory damages to Monocacy Wealth Partners and its founders, Scott A. Brantingson and his son, Scott M. Brantingson.

Read More »

FINRA Targets Repeat Offenders and Reg BI Violations in Enforcement Focus

Posted on May 29th, 2024 at 1:22 PM
FINRA Targets Repeat Offenders and Reg BI Violations in Enforcement Focus

AdvisorHub reports that the Financial Industry Regulatory Authority (FINRA) is advocating more stringent penalties for repeat offenders who fail to comply with FINRA rules or securities laws.

Read More »

SEC and FinCEN Propose Stricter Anti-Money Laundering Rules for Investment Advisors

Posted on May 28th, 2024 at 10:22 AM
SEC and FinCEN Propose Stricter Anti-Money Laundering Rules for Investment Advisors

The Securities and Exchange Commission (SEC) and the Financial Crimes Enforcement Network (FinCEN) have proposed a rule to enhance anti-money laundering (AML) and counter-terrorism practices for registered investment advisers (RIAs) and exempt reporting advisers, including private fund and venture capital advisors.

Read More »

SEC Fines Five Investment Advisory Firms for Marketing Rule Violations

Posted on May 24th, 2024 at 2:16 PM
SEC Fines Five Investment Advisory Firms for Marketing Rule Violations

The Securities and Exchange Commission (SEC) has taken action against five registered investment advisory (RIA) firms for breaching its updated marketing rule, resulting in a combined penalty of $200,000, as disclosed in a recent announcement.

Read More »

Stifel Fined Nearly $3 Million for Supervisory Failures

Posted on May 23rd, 2024 at 1:12 PM
Stifel Fined Nearly $3 Million for Supervisory Failures

Stifel Financial Corp. has agreed to pay fines and restitution totaling nearly $3 million due to deficiencies in supervision and compliance regarding the sale of non-traditional exchange-traded funds (NT-ETFs) and products per a filed AWC (Acceptance, Waiver, and Consent).

Read More »

Department of Labor Unveils New Fiduciary Rule

Posted on May 22nd, 2024 at 9:11 AM
Department of Labor Unveils New Fiduciary Rule

The Department of Labor (DOL) has announced a comprehensive update to its fiduciary rule, marking a significant overhaul of regulations dating back to 1975.

Read More »

FBI Report Highlights Rising Elder Fraud Trends

Posted on May 21st, 2024 at 11:00 AM
FBI Report Highlights Rising Elder Fraud Trends

The FBI's Internet Crime Complaint Center (IC3) released its 2023 Elder Fraud Report, revealing a concerning surge in elder fraud complaints and associated losses.

Read More »

TESTIMONIALS

Previous
Next
Quotes Bigger

If the regulators are after you, and are trying to make a case against you, and you are going to contest their allegations against you, make sure you have the best securities industry defense lawyers, Eccleston Law Firm. My case was spun into a combination of penalties including fines, cash settlements, CE courses and suspension. They were the best I have seen in action. When all was said and done, they had done their magic, my situation was negotiated and settled with a simple "letter of caution" and a case closed without action. It is the most important legal business decision you will ever make, make it Eccleston Law.

Rick R.

LATEST NEWS AND ARTICLES

1773851287 Law
March 18, 2026
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.

1773760408 Law
March 17, 2026
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.

1773678753 Law
March 16, 2026
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.