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

Tagged with "eccleston"

Fidelity Study Finds Rise in RIA Valuations Reaches Plateau

Posted on June 28th, 2023 at 3:43 PM
Fidelity Study Finds Rise in RIA Valuations Reaches Plateau

According to a recent study conducted by Fidelity Investments, the financial industry expects a continued rise in registered investment advisor (RIA) dealmaking over the next five years, despite the increasing cost of acquiring RIA firms.

Read More »

Epicenters of Investment Fraud Revealed in New Study

Posted on June 27th, 2023 at 1:15 PM
Epicenters of Investment Fraud Revealed in New Study

2022 witnessed a staggering surge in investment fraud, surpassing all other types of fraud in terms of monetary losses among Americans.

Read More »

Attorneys Believe James Gorman's "New Blood" Remarks Could Strengthen Ageism Lawsuits

Posted on June 26th, 2023 at 11:02 AM
Attorneys Believe James Gorman's

James Gorman, CEO of Morgan Stanley, has faced criticism for his recent comments regarding the company's termination of around 3,500 employees since April.

Read More »

Welcome Attorney Anthony Bingham

Posted on June 26th, 2023 at 9:47 AM
Welcome Attorney Anthony Bingham

Eccleston Law, LLC is pleased to announce the addition of Attorney Anthony Bingham, expanding the firm’s practice representing financial advisors and investors to Arizona.

Read More »

The Growing Compliance Risks of Neglecting Life Settlement Discussions

Posted on June 23rd, 2023 at 1:58 PM
The Growing Compliance Risks of Neglecting Life Settlement Discussions

According to a recent article in Wealth Solutions Report, broker-dealers should consider enhanced oversight pertaining to suitability, recommendations, and the use of funds obtained from life settlement transactions.

Read More »

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. 

Read More »

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.

Read More »

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.

Read More »

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.

Read More »

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.

Read More »

TESTIMONIALS

Previous
Next
Quotes Bigger

If you find yourself in trouble with the regulators, call Eccleston Law, you won't regret it.

Rick R.

LATEST NEWS AND ARTICLES

1786029344 Law
August 6, 2026
Account Takeover Fraud Continues to Rise as Cybercriminals Refine Their Tactics

Cybercriminals continue to refine account takeover schemes, driving billions of dollars in losses for businesses and consumers each year.

1785949175 Law
August 5, 2026
FINRA Arbitration Panel Orders Arkadios Capital to Pay $2.7 Million in Ponzi Scheme-Related Claim

A Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered Arkadios Capital to pay $2.7 million in damages to an investor who alleged the firm failed to supervise a former registered representative whose father operated a long-running Ponzi scheme, according to InvestmentNews.

1785858278 Law
August 4, 2026
SEC Fines Former LPL Broker $125,000 for Undisclosed Conflicts in Private Securities Offerings

The Securities and Exchange Commission (SEC) has censured a former LPL Financial broker and imposed a $125,000 civil penalty after finding that he failed to disclose conflicts of interest related to private real estate securities offerings that generated nearly $1.5 million in compensation, as reported by AdvisorHub.