Tagged with "eccleston"

California Advisor Terminated From Two Firms Over Undisclosed Outside Business

Posted on September 2nd, 2022 at 1:19 PM
California Advisor Terminated From Two Firms Over Undisclosed Outside Business

A California-based financial advisor had his record tarnished on two occasions in a six-month period over related undisclosed outside business activity (OBA) allegations. 

Read More »

Massachusetts Initiates Sweep of Single-Stock ETFs

Posted on September 1st, 2022 at 3:24 PM
Massachusetts Initiates Sweep of Single-Stock ETFs

Massachusetts’ head securities regulator, William Galvin, has initiated a sweep of complex single-stock exchange-traded fund (ETF) offerings that were recently introduced to the public. 

Read More »

Former Advisor Pleads Guilty To Fraudulently Obtaining Paycheck Protection Program Loans

Posted on August 31st, 2022 at 1:57 PM
Former Advisor Pleads Guilty To Fraudulently Obtaining Paycheck Protection Program Loans

A former Florida-based advisor, Gregory Blotnick, has pleaded guilty to fraudulently obtaining at least $4.6 million in Paycheck Protection Program (PPP) loans administered by the Small Business Administration (SBA) during the pandemic. 

Read More »

SEC Charges 18 Defendants in International Scheme to Manipulate Stocks

Posted on August 30th, 2022 at 11:34 AM
SEC Charges 18 Defendants in International Scheme to Manipulate Stocks

The Securities and Exchange Commission (SEC) has charged eighteen individual and entity defendants for their roles in orchestrating a scheme in which numerous online retail brokerage accounts were hacked and fraudulently used to buy microcap equities in an effort to manipulate stock prices and trading volumes.

Read More »

CFP Board Suspends Three Advisors

Posted on August 29th, 2022 at 1:26 PM
CFP Board Suspends Three Advisors

The Certified Financial Planner (CFP) Board of Standards has suspended three advisors from utilizing the CFP mark after two were charged with felonies and one faces civil fraud charges filed by the Securities and Exchange Commission (SEC). 

Read More »

SEC Proposes Joint Amendments to Form PF

Posted on August 26th, 2022 at 2:00 PM
SEC Proposes Joint Amendments to Form PF

The Securities and Exchange Commission (SEC) is determining whether procced with joint amendments with the Commodity Futures Trading Commission (CFTC) to Form FP, a reporting tool utilized by the SEC to protect retails investors and oversee systemic risk.

Read More »

SEC Charges Angel Oak Capital Advisors with Misleading Investors

Posted on August 25th, 2022 at 2:15 PM
SEC Charges Angel Oak Capital Advisors with Misleading Investors

The Securities and Exchange Commission (SEC) has charged Angel Oak Capital Advisors and its manager Ashish Negandhi for misleading investors regarding the firm’s fix-and-flip loan securitization’s delinquency rates. 

Read More »

FINRA Warns Member Firms of E-Signature Violations

Posted on August 24th, 2022 at 1:35 PM
FINRA Warns Member Firms of E-Signature Violations

The Financial Industry Regulatory Authority (FINRA) has issued a regulatory notice warning financial advisor firms to closely monitor how advisors utilize third-party digital signature platforms amidst a spike in forgery and falsifications.

Read More »

Former Advisor Receives Nearly 22 Years in Prison Over Fake-Annuity Scheme

Posted on August 23rd, 2022 at 2:37 PM
Former Advisor Receives Nearly 22 Years in Prison Over Fake-Annuity Scheme

A former Ohio-based advisor has received a 22-year prison sentence after being convicted of misappropriating at least $9.3 million from clients.

Read More »

Wells Fargo and Former Advisor Ordered to Pay Customers In Churning Dispute

Posted on August 22nd, 2022 at 1:39 PM
Wells Fargo and Former Advisor Ordered to Pay Customers In Churning Dispute

A Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered Wells Fargo and a former advisor to pay a Pennsylvania couple at least $731,000 over a churning dispute that last nearly five years. 

Read More »

TESTIMONIALS

Previous
Next

Thank You from the bottom of our hearts for all you have done for us. When we realized this was a very bad investment - we did not know where to turn for help. Then we received your name. When we called you - you were so kind to us and then agreed to help us. For this we are so very grateful. The world would be a much nicer place if there were more people like the two of you in it. We will always remember all the help and kindness you have shown us. Thank you so very very much for everything.

Wayne and Judy S.

LATEST NEWS AND ARTICLES

February 12, 2026
CFTC Signals New Rulemaking for Prediction Markets and Crypto Oversight

The Commodity Futures Trading Commission (CFTC) plans to develop new regulations governing the growing prediction markets industry, Chairman Michael Selig announced, signaling a shift in regulatory strategy.

February 11, 2026
Ameriprise Advisor Phishing Incident Potentially Exposes Client Data

A phishing incident involving an Ameriprise Financial advisor potentially exposed the personal information of hundreds of clients, according to a disclosure posted by the Maine Attorney General’s office.

February 10, 2026
Merrill Lynch Expands Client Disclosures on Crypto and AI Risks

Merrill Lynch updated its required client disclosure brochure to address, for the first time, the evolving risks tied to cryptocurrency-linked investments and the firm’s expanding use of Artificial Intelligence tools.