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

Tagged with "eccleston"

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 »

Former Morgan Stanley Advisor Agrees to Settle with FINRA for Unapproved Investments

Posted on December 22nd, 2023 at 10:39 AM
Former Morgan Stanley Advisor Agrees to Settle with FINRA for Unapproved Investments

Former Morgan Stanley advisor Sara Y. Qazi has agreed to a $15,000 fine and a three-month suspension after the Financial Industry Regulatory Authority (FINRA) had alleged that she aided a client in an unauthorized private investment.

Read More »

Industry Advocates Criticize NASAA's Proposed Amendments to Business Practices Rule as Overreach

Posted on December 21st, 2023 at 2:30 PM

The North American Securities Administrators Association (NASAA) is facing criticism from the Institute for Portfolio Alternatives (IPA) and the Financial Services Institute (FSI) regarding its proposed updates to the "Dishonest or Unethical Business Practices of Broker-Dealers and Agents”, commonly known as the "Business Practices Rule."

Read More »

Cybercrime Vulnerability Among Older Population, $3.1 Billion Loss in 2022

Posted on December 20th, 2023 at 1:57 PM
Cybercrime Vulnerability Among Older Population, $3.1 Billion Loss in 2022

A recent report highlights the vulnerability of the older population in the United States to cybercrimes, leading to a staggering loss of $3.1 billion in 2022.

Read More »

SEC Targets Fund Adviser Jonathan Larmore in $35 Million Case

Posted on December 19th, 2023 at 1:35 PM
SEC Targets Fund Adviser Jonathan Larmore in $35 Million Case

The Securities and Exchange Commission (SEC) has filed fraud charges against ArciTerra Companies LLC, a real estate investment firm based in Phoenix, and its CEO, Jonathan M. Larmore.

Read More »

TESTIMONIALS

Previous
Next
Quotes Bigger

Jim, Stephany and the whole team were a God send.  We felt like we were put into a situation where we had no advocate. Jim’s team came in with a strong, well laid out strategy on how to get our story heard. Where our outside compliance company had no ability to help, our Broker Dealer was impenitent, and the regulators were aggressive pursuing vague rules, Jim came like a barricade against an assault we did not understand. Though you pay member dues to be affiliated with FINRA and a B/D, you have no voice. The only thing that is truly heard in this un-level playing field is a bulldog’s bark like Jim’s. I would encourage anyone to call Jim and his team to find a real ally in the tough and complicated world of securities regulation. They are truly the best.

Greg P.

LATEST NEWS AND ARTICLES

1791390362 Law
October 7, 2026
SEC Charges Investment Fund Operators in Alleged $8.7 Million Fraud Scheme

The Securities and Exchange Commission (SEC) has charged Christopher Kenji Dinelli and Jacob David "Kobe" Frankel with allegedly defrauding 35 investors of more than $8.7 million through Beyond Alpha Ventures LLC and investment advisory firm Beyond Equity LLC.

1791220249 Law
October 5, 2026
House Passes Bill to Restore Tax Deduction for Financial Fraud Victims

Victims of financial fraud may soon receive additional tax relief under legislation that overwhelmingly passed in the House of Representatives.

1790960250 Law
October 2, 2026
FINRA Arbitrators Award Schwab Client $1.34 Million in Cryptocurrency Scam Dispute

A Financial Industry Regulatory Authority (FINRA) Dispute Resolution Services arbitration panel awarded nearly $1.34 million in compensatory damages to a Charles Schwab & Co.