Tagged with "eccleston"

Goldman's Aggressive Legal Tactics to Enforce Non-Solicitation Agreements Before Creative Planning Sale

Posted on October 23rd, 2023 at 1:25 PM
Goldman's Aggressive Legal Tactics to Enforce Non-Solicitation Agreements Before Creative Planning Sale

Two former Goldman Sachs Personal Financial Management advisors based in California have filed a lawsuit challenging the enforceability of their employment agreements following their departures.

Read More »

FINRA Takes Steps to Restrict Non-Lawyer Representation in Investor Arbitrations

Posted on October 20th, 2023 at 1:22 PM
FINRA Takes Steps to Restrict Non-Lawyer Representation in Investor Arbitrations

The Financial Industry Regulatory Authority (FINRA) has proposed a new rule prohibiting individuals who are not lawyers from receiving compensation from representing parties in its arbitration forum.

Read More »

FINRA Extends Remote Inspection Provision Through 2024

Posted on October 19th, 2023 at 4:19 PM
FINRA Extends Remote Inspection Provision Through 2024

The Financial Industry Regulatory Authority (FINRA) has informed the Securities and Exchange Commission (SEC) of its intention to continue a temporary program permitting member firms to inspect their brokers' offices remotely.

Read More »

Massachusetts RIA Agrees to Settlement with SEC Over Marketing Violations

Posted on October 18th, 2023 at 11:36 AM
Massachusetts RIA Agrees to Settlement with SEC Over Marketing Violations

Massachusetts-based RIA Wellesley Asset Management (WAM) will pay a $1 million civil penalty to resolve allegations of using hypothetical performance information in advertisements without adequate disclosures.

Read More »

SEC Files Charges Against Bruderman Asset Management and Principal for Concealing Misuse of Investment Funds

Posted on October 17th, 2023 at 1:16 PM
SEC Files Charges Against Bruderman Asset Management and Principal for Concealing Misuse of Investment Funds

The Securities and Exchange Commission (SEC) has announced that Bruderman Asset Management LLC (BAM), based in New York, and its principal, Matthew J. Bruderman, have agreed to settle charges stemming from their failure to disclose the misuse of proceeds obtained from clients. 

Read More »

SEC Intensifies WhatsApp Probe

Posted on October 16th, 2023 at 1:13 PM
SEC Intensifies WhatsApp Probe

The Securities and Exchange Commission (SEC) has heightened its investigation into Wall Street's utilization of private messaging applications by gathering thousands of staff messages from over a dozen major investment companies.

Read More »

Private Equity Firms Seek $750 Million in Lawsuit Against Morgan Stanley for Alleged Fraud

Posted on October 13th, 2023 at 11:51 AM

Private equity firms Certares Management LLC and Knighthead Capital Management LLC have filed a lawsuit against Morgan Stanley, seeking at least $750 million in damages.

Read More »

Former Florida-Based Morgan Stanley Advisor Accepts Industry Ban Amid Fraud Probe

Posted on October 12th, 2023 at 2:18 PM
Former Florida-Based Morgan Stanley Advisor Accepts Industry Ban Amid Fraud Probe

A former Morgan Stanley advisor in Fort Lauderdale, Florida, with 23 years of experience, opted for an industry ban instead of cooperating with a Financial Industry Regulatory Authority (FINRA) investigation.

Read More »

Goldman Sachs to Pay $5.5 Million Due to Pandemic-Era Audio Recording Failures

Posted on October 11th, 2023 at 10:44 AM
Goldman Sachs to Pay $5.5 Million Due to Pandemic-Era Audio Recording Failures

The Commodity Futures Trading Commission (CFTC) has imposed a $5.5 million fine on Goldman Sachs for alleged failures in recording and retaining mobile device calls made by its traders at the beginning of the Covid-19 pandemic.

Read More »

Deutsche Asset Management Unit Pays $25 Million to Settle "Greenwashing" and AML Violations

Posted on October 10th, 2023 at 1:58 PM
Deutsche Asset Management Unit Pays $25 Million to Settle

Deutsche Bank AG's DWS asset management unit has agreed to a $25 million settlement with the Securities and Exchange Commission (SEC) over two separate issues.

Read More »

TESTIMONIALS

Previous
Next

 


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

January 15, 2026
FINRA Flags Risks of Early Withdrawals and Exchanges in Registered Index-Linked Annuities

The Financial Industry Regulatory Authority (FINRA) has issued a renewed warning to the industry about the risks consumers face when they exit registered index-linked annuities (RILAs) before the end of the contract term.

January 14, 2026
FINRA Fines and Suspends Wells Fargo Advisor Over Fictitious Expense Claims

The Financial Industry Regulatory Authority (FINRA) fined and suspended a Wells Fargo Advisors representative in Waco, Texas, after finding that he submitted fictitious business expense claims, according to a FINRA Acceptance, Waiver and Consent (AWC) letter.

January 12, 2026
Florida Man Indicted in $36 Million Investment Fraud Scheme

According to news sources, federal prosecutors allege that a Florida man orchestrated a multimillion-dollar Ponzi scheme that funded a luxury lifestyle built on stolen investor money, according to the U.S. Department of Justice.