Tagged with "Financial Adviser"

FINRA Suspends Former LPL Investment Adviser After Borrowing $200,000 From a Client

Posted on May 9th, 2019 at 4:44 PM
FINRA Suspends Former LPL Investment Adviser After Borrowing $200,000 From a Client

FINRA has suspended former LPL Financial investment adviser, James E. “Jeb” Bashaw for failing to disclose to LPL that he borrowed $200,000 from a customer in 2013.

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Adviser Swindled $4.5 Million From a Former NFL Player to Pay Personal Expenses

Posted on July 13th, 2017 at 10:27 AM
Adviser Swindled $4.5 Million From a Former NFL Player to Pay Personal Expenses

The U.S. Attorney’s Office for the Southern District of Indiana has announced the indictment of independent adviser, Kenneth Ray Cleveland, 63, of Agoura Hills, California with seven counts of wire fraud and three counts of money laundering.

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Financial Adviser Pleads Guilty to Theft

Posted on January 8th, 2017 at 8:26 PM
Financial Adviser Pleads Guilty to Theft

Former financial adviser Brian Keenan has pleaded guilty to stealing more than $1.6 million from the beneficiaries of three separate trusts

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Former MLB Pitcher Sues His Former Financial Advisers

Posted on April 28th, 2015 at 9:43 AM
Former MLB Pitcher Sues His Former Financial Advisers

Former MLB pitcher, Jaret Wright, is suing his advisers at CSI Capital Management, Sun Trust Bank and accounting firm Taylor & Faust for fraud, misrepresentation, negligence and other wrongful conduct. 

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Ex-New York Islanders Owners Sentenced for Securities Fraud

Posted on December 12th, 2014 at 10:16 AM
Ex-New York Islanders Owners Sentenced for Securities Fraud

Former executives at WG Trading Co. were sentenced to 10 years in prison for participating in a fraud valued at roughly $554 million that lasted more than a decade.

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As a financial advisor with over 20 years of experience, I feel fortunate to call Jim my attorney and friend. He is a fantastic lawyer and trusted advisor. He is skilled in the matters necessary to do the job well. He uses his thoughtful approach and calm demeanor to achieve a positive outcome for the client. If you want to feel confident that nothing will be missed and that you will be represented in a highly professional manner, call Jim Eccleston.

Bill C. and Dan M.

LATEST NEWS AND ARTICLES

December 3, 2021
FINRA Issues Fine to Small Advisory Firm Over Material Misrepresentations

The Financial Industry Regulatory Authority has censured and issued a $250,000 fine to a Los Angeles-based advisory firm, WestPark Capital Inc., for making material misrepresentations pertaining to promissory notes offered by its parent company.

December 2, 2021
FINRA Imposes Suspension on Ohio-Based Advisor Over Outside Investments

The Financial Industry Regulatory Authority (FINRA) has issued a one-year suspension and $12,500 fine to an Ohio-based advisor, William LeBoeuf, who worked at Merrill Lynch and Cetera Advisor Networks when the violations occurred.

December 1, 2021
SEC Charges Former Illinois Edward Jones Advisor With Fraud

The Securities and Exchange Commission (SEC) has charged a former Illinois-based investment advisor, Ronald Molo, with defrauding three clients out of at least $800,000.