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

Tagged with "eccleston"

$1.8 Million SEC Judgement Against Advisor Upheld on Appeal

Posted on July 25th, 2022 at 1:27 PM
$1.8 Million SEC Judgement Against Advisor Upheld on Appeal

The Securities and Exchange Commission (SEC) has convinced the U.S. Court of Appeals for the Seventh Circuit to uphold a $1.8 million judgment imposed on an advisor accused of fraud.

Read More »

CFP Board Issues 17 Sanctions in its Recent Round of Disciplinary Actions

Posted on July 21st, 2022 at 12:55 PM
CFP Board Issues 17 Sanctions in its Recent Round of Disciplinary Actions

The Certified Financial Planner Board of Standards (CFP Board) recently issued sanctions against 17 CFP professionals for a host of violations, including attempting to cheat on the CFP exam, failing to pay taxes, and stealing reward points from an employer’s credit card.

Read More »

SEC Charges Former LPL Advisor With Misappropriating $1.7 Million

Posted on July 20th, 2022 at 2:39 PM
SEC Charges Former LPL Advisor With Misappropriating $1.7 Million

The Securities and Exchange Commission (SEC) has charged a former LPL advisor with misappropriating $1.7 million from at least three clients to cover personal expenses, including the purchase of a house.

Read More »

Here’s How FINRA Spent Its Fine Proceeds In 2021

Posted on July 19th, 2022 at 1:59 PM
Here’s How FINRA Spent Its Fine Proceeds In 2021

The Financial Industry Regulatory Authority (FINRA) imposed fines worth up to $90.1 million in 2021, which was a substantial increase from the $57 million issued in 2020.

Read More »

Morgan Stanley Seeks to Send Brokers’ Deferred Comp Lawsuit to Arbitration

Posted on July 18th, 2022 at 3:33 PM

Morgan Stanley has asked a federal court to stay a proposed class action lawsuit related to its deferred compensation plan and compel 12 of its former brokers who filed the suit to arbitrate their claims.

Read More »

Notable 2022 Ponzi Schemes

Posted on July 18th, 2022 at 3:15 PM
Notable 2022 Ponzi Schemes

Several notable Ponzi schemes have been uncovered so far in 2022.

Read More »

CFP Board Suspends Advisor Over Improper GWG Bond Sales

Posted on July 14th, 2022 at 12:25 PM
CFP Board Suspends Advisor Over Improper GWG Bond Sales

The Certified Financial Planner Board of Standards Inc. (CFP Board) has issued an interim suspension against Patrick Egan, who is an advisor at Western International Securities, a firm recently charged by the SEC for violating Regulation Best Interest (Reg BI).

Read More »

UBS Agrees to Pay $25 Million to Settle SEC Fraud Charges Related to YES

Posted on July 13th, 2022 at 3:33 PM
UBS Agrees to Pay $25 Million to Settle SEC Fraud Charges Related to YES

The Securities and Exchange Commission (SEC) has agreed to a settlement with UBS Financial Services. The firm has agreed to pay $25 million to settle fraud charges pertaining to a complex options trading strategy known as YES, or Yield Enhancement Strategy.

Read More »

Infinity Q Founder Charged by SEC For Overvaluing Assets

Posted on July 12th, 2022 at 3:13 PM
Infinity Q Founder Charged by SEC For Overvaluing Assets

Infinity Q, a registered investment adviser with the Securities and Exchange Commission (SEC), oversaw a now-shuttered mutual fund, the Infinity Q Diversified Alpha Fund, as well as a parallel hedge fund, the Infinity Q Volatility Alpha Fund. 

Read More »

Municipal Bonds Increasingly Held by Funds Rather Than Retail Investors

Posted on July 12th, 2022 at 8:47 AM
Municipal Bonds Increasingly Held by Funds Rather Than Retail Investors

The percentage of outstanding municipal bonds owned by U.S. retail investors dipped to 40% in the first three months of the year in comparison to 46% in 2020, according to a Municipal Securities Rulemaking Board report.

Read More »

TESTIMONIALS

Previous
Next
Quotes Bigger

I learned two important things working with Eccleston Law. First, I made a friend and ally with Jim and Steph for life. Secondly, and this is a crucial life lesson - if you need counsel, then seek out the very best. Jim was referred to me by a most trusted source. I've never had to hire an attorney for anything. Now, I know the value of hiring an important partner. Meticulous, thorough and detailed in preparation is the best way to describe Jim. Brilliant too, I might add. Bottom line, I would highly highly recommend Jim and Stephany for your legal needs. One of the best life decisions I've ever made.

Howard S.

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.