Tagged with "eccleston"

Surge in Elderly-Targeted Cryptocurrency Scams

Posted on June 22nd, 2023 at 11:26 AM
Surge in Elderly-Targeted Cryptocurrency Scams

According to U.S. Department of Justice research, over 3,000 senior citizens were victims of investment cryptocurrency scams. 

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SEC Files Charges Against Florida Resident Cedric Griffin for $5.9 Million Ponzi Scheme Targeting African American Community

Posted on June 21st, 2023 at 1:36 PM
SEC Files Charges Against Florida Resident Cedric Griffin for $5.9 Million Ponzi Scheme Targeting African American Community

Cedric Dewayne Griffin has been charged by the Securities and Exchange Commission (SEC) for running a Ponzi scheme targeting the African American community in Jacksonville, Florida, and in other regions.

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FINRA Bars LPL Advisor for Non-Cooperation in Overdraft Investigation

Posted on June 20th, 2023 at 1:19 PM
FINRA Bars LPL Advisor for Non-Cooperation in Overdraft Investigation

The Financial Industry Regulatory Authority (FINRA) has banned a former advisor from LPL Financial due to his refusal to cooperate with an investigation.

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Five Major Rules The SEC Plans To Finalize By Year-End

Posted on June 19th, 2023 at 8:57 AM
Five Major Rules The SEC Plans To Finalize By Year-End

According to the Securities and Exchange Commission’s (SEC) Spring 2023 regulatory flexibility agenda, the SEC plans to finalize several controversial rules by the end of the year.

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Former LPL Advisor Created Fraudulent Bank Account To Steal $1.3 Million From Customer

Posted on June 15th, 2023 at 11:01 AM

The Securities and Exchange Commission (SEC) filed a complaint accusing Patrick N. Thayer of stealing $1.3 million from a customer.

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Silver Star Properties REIT Raises Concerns about Future Viability in SEC Filing

Posted on June 15th, 2023 at 8:59 AM
Silver Star Properties REIT Raises Concerns about Future Viability in SEC Filing

Silver Star Properties REIT Inc., previously known as Hartman Short Term Income Properties XX Inc., has raised concerns about its ability to sustain operations in its latest quarterly report filed with the Securities and Exchange Commission (SEC).

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SEC Announces Expanded Scope of Marketing Rule Compliance Exams for Investment Advisers

Posted on June 13th, 2023 at 2:08 PM
SEC Announces Expanded Scope of Marketing Rule Compliance Exams for Investment Advisers

The Securities and Exchange Commission (SEC) recently released a risk alert announcing that examiners now will broaden their focus when reviewing firms' compliance with a marketing rule that took effect in November.

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Morgan Stanley Wealth Management Initiates Management Restructuring in Southern New Jersey and New York City

Posted on June 12th, 2023 at 1:14 PM
Morgan Stanley Wealth Management Initiates Management Restructuring in Southern New Jersey and New York City

In an internal announcement this week, Morgan Stanley unveiled what it portrays as a strategic reorganization in Southern New Jersey and New York City, with the net result being that Christopher W. Shaw, a Morgan Stanley veteran, and manager in Southern
New Jersey, will step down.

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Retrospective Review Deadline Approaching

Posted on June 9th, 2023 at 2:11 PM
Retrospective Review Deadline Approaching

The deadline for completing the initial retrospective review required by the Department of Labor (DOL) is quickly approaching.

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Former David Lerner Branch Manager Receives FINRA Sanctions for Supervisory Lapses

Posted on June 8th, 2023 at 10:54 AM
Former David Lerner Branch Manager Receives FINRA Sanctions for Supervisory Lapses

The Financial Industry Regulatory Authority (FINRA) imposed a one-month suspension and a $5,000 fine on former David Lerner Associates branch manager Rande Aaronson.

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TESTIMONIALS

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As a financial advisor with over 20 years of experience, I feel fortunate to call Jim my attorney and friend. He is a fantastic lawyer and trusted advisor. He is skilled in the matters necessary to do the job well. He uses his thoughtful approach and calm demeanor to achieve a positive outcome for the client. If you want to feel confident that nothing will be missed and that you will be represented in a highly professional manner, call Jim Eccleston.

Bill C. and Dan 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.