Tagged with "eccleston"

Kamila Elliot Prepared To Make History As First Black CFP Board Chair

Posted on January 13th, 2022 at 12:38 PM
Kamila Elliot Prepared To Make History As First Black CFP Board Chair

The first Black woman to head the CFP Board, Kamila Elliot, officially assumed her position from former CFP Board Chair Douglas King on January 1.

Read More »

Wisconsin Advisor Barred After Allegations of Material Misrepresentations

Posted on January 12th, 2022 at 12:13 PM
Wisconsin Advisor Barred After Allegations of Material Misrepresentations

The Securities and Exchange Commission (SEC) has barred an Appleton, Wisconsin-based advisor, Michael Shillin. 

Read More »

Experts Anticipate Reg BI Enforcement Actions, DOL Rollover Crackdown In 2022

Posted on January 11th, 2022 at 12:47 PM
Experts Anticipate Reg BI Enforcement Actions, DOL Rollover Crackdown In 2022

The Securities and Exchange Commission (SEC) may actively levy enforcement actions pertaining to Regulation Best Interest (Reg BI) while the Department of Labor (DOL) will emphasize a fiduciary rule that regulates rollover and insurance product recommendations in 2022, according to industry experts.

Read More »

Number Of Nasdaq Stocks Down 50% Or More Approaches Record

Posted on January 10th, 2022 at 12:46 PM
Number Of Nasdaq Stocks Down 50% Or More Approaches Record

An increasing number of Nasdaq stocks have plummeted by around 50% in an echo of the dot-com crash.

Read More »

Wells Fargo Divisional Head Vanderveen Steps Down

Posted on January 7th, 2022 at 12:23 PM
Wells Fargo Divisional Head Vanderveen Steps Down

One of eight regional directors monitoring Wells Fargo Advisors’ private client group departed the firm last week after a leave of absence that lasted several weeks.

Read More »

Boston Man Agrees To SEC Settlement After Guilty Plea

Posted on January 6th, 2022 at 3:05 PM
Boston Man Agrees To SEC Settlement After Guilty Plea

A Boston man accused of defrauding investors has agreed to a settlement with the Securities and Exchange Commission (SEC) after pleading guilty in a parallel criminal case.

Read More »

New FINRA Rule Reining In Rogue Brokerages Becomes Effective

Posted on January 5th, 2022 at 1:47 PM
New FINRA Rule Reining In Rogue Brokerages Becomes Effective

The Financial Industry Regulatory Authority (FINRA) adopted a new rule in 2020 that is designed to rein in rogue brokerage firms.

Read More »

FINRA Fines Two Firms Over Mutual Fund Sales

Posted on January 4th, 2022 at 1:16 PM
FINRA Fines Two Firms Over Mutual Fund Sales

The Financial Industry Regulatory Authority (FINRA) has fined Emerson Equity $1.7 million, citing several years of faulty supervision of short-term mutual fund trades.

Read More »

Notable 2021 Ponzi Schemes

Posted on January 3rd, 2022 at 1:16 PM
Notable 2021 Ponzi Schemes

While 2021 was anything but an ordinary year, numerous advisors were indicted for conducting Ponzi schemes similar to previous years.

Read More »

TESTIMONIALS

Previous
Next

I have the best legal firm in the country to defend me. Awesome job!

Cindy C.

LATEST NEWS AND ARTICLES

January 19, 2026
FINRA Study Warns of Declining Investor Participation and Rising Fraud Risks Among Younger Investors

A new study from FINRA’s Investor Education Foundation highlights troubling shifts in retail investing, including shrinking participation, heavier reliance on social media for advice, and growing vulnerability to fraud.

January 16, 2026
SEC Signals Sweeping IPO Rule Changes to Ease Path for Smaller Companies

The Securities and Exchange Commission (SEC) plans to overhaul its public offering framework to make it easier for smaller companies to access the public markets, according to remarks SEC Chairman Paul Atkins delivered at the New York Stock Exchange, as reported by Bloomberg Law.

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.