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

Tagged with "eccleston"

Financial Advisory Firms Seek to Prevent “Disharmony” on Large Teams

Posted on May 16th, 2023 at 1:26 PM
Financial Advisory Firms Seek to Prevent “Disharmony” on Large Teams

Financial advisory firms and company executives continue to promote organizing as a team, which supposedly creates an improved service model for clients.

Read More »

Federal Judge Reaffirms Injunctions Against Advisors Who Departed USI for Lockton

Posted on May 15th, 2023 at 11:48 AM
Federal Judge Reaffirms Injunctions Against Advisors Who Departed USI for Lockton

A federal judge has upheld and expanded an injunction against several former USI financial advisors who departed for Lockton.

Read More »

SEC Charges Two Texas Advisors Over $155 Million Fraudulent Oil & Gas Offering

Posted on May 12th, 2023 at 1:14 PM
SEC Charges Two Texas Advisors Over $155 Million Fraudulent Oil & Gas Offering

The Securities and Exchange Commission (SEC) has charged Roy Hill and Eric Shelly along with two entities under their ownership, Clean Energy Technology Association (CETA) and Freedom Impact Consulting (FIC), for allegedly organizing a fraudulent offering that raised nearly $155 million from at least 500 investors. 

Read More »

Goldman Sachs Pays $215 Million To Settle Class-Action Suit on Underpaying Women

Posted on May 11th, 2023 at 1:21 PM
Goldman Sachs Pays $215 Million To Settle Class-Action Suit on Underpaying Women

Goldman Sachs has agreed to pay $215 million to settle a class-action lawsuit that accused the company of systemically underpaying female employees.

Read More »

U.S. Government To Investigate Goldman’s Role in Failed SVB Deal

Posted on May 9th, 2023 at 1:07 PM
U.S. Government To Investigate Goldman’s Role in Failed SVB Deal

U.S. governmental agencies are set to investigate Goldman Sachs’ role in Silicon Valley Bank’s (SVB’s) last-ditched effort to raise funds in March.

Read More »

SEC Charges Son and Father-in-Law Who Targeted Church Members in $20 Million Fraud

Posted on May 8th, 2023 at 1:22 PM
SEC Charges Son and Father-in-Law Who Targeted Church Members in $20 Million Fraud

The Securities and Exchange Commission (SEC) has charged Brett Bartlett and his father-in-law, Scott Miller, along with their companies over fraudulent securities offerings that generated nearly $20.5 million. 

Read More »

BREIT Limits Redemption Requests for Sixth Consecutive Month

Posted on May 5th, 2023 at 1:25 PM
BREIT Limits Redemption Requests for Sixth Consecutive Month

Blackstone Real Estate Income Trust Inc. has announced that the company limited redemption requests again last month raising concerns among some investors and industry participants. 

Read More »

Stifel Fined $2.5 Million After Advisor Charged Excessive Fees to Seniors and a Church

Posted on May 4th, 2023 at 1:24 PM
Stifel Fined $2.5 Million After Advisor Charged Excessive Fees to Seniors and a Church

Massachusetts’ top securities regulator, William Galvin, has ordered Stifel, Nicolaus & Co. to pay $2.5 million for failing to supervise an advisor’s questionable trades, which charged excessive and unauthorized fees to several senior clients, nonprofits, and a church.

Read More »

Former Cetera Advisor Wins $500,000 Arbitration Award Over Failed M&A Deal

Posted on May 3rd, 2023 at 1:13 PM
Former Cetera Advisor Wins $500,000 Arbitration Award Over Failed M&A Deal

A Financial Industry Regulatory Authority (FINRA) arbitration panel has awarded nearly $500,000 to a former Cetera Financial Group advisor, Betsy Jo Merritt, after an agreement to sell her branch fell through.

Read More »

Raymond James and Two Financial Advisors Win $16.4 Million Arbitration Award Against Deutsche Bank

Posted on May 2nd, 2023 at 2:01 PM
Raymond James and Two Financial Advisors Win $16.4 Million Arbitration Award Against  Deutsche Bank

A Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered Deutsche Bank to pay $16.4 million to Raymond James and two financial advisors in a dispute regarding fees.

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

1791477640 Law
October 8, 2026
Delaware Life Faces Proposed Class Action Over Alleged Private Credit Disclosures

A Florida investor has filed a proposed class action against Delaware Life Insurance Co.

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.