Tagged with "Florida"

Former Florida Broker Sentenced to 6½ Years in Prison for $16 Million Fraud Scheme

Posted on December 14th, 2018 at 2:33 PM
Former Florida Broker Sentenced to 6½ Years in Prison for $16 Million Fraud Scheme

A federal judge in Florida has sentenced former Fort Lauderdale, Florida broker Salvatore Colonna to 6½ years in prison and ordered him to pay $13.1 million in restitution for his role in a $16 million precious metals and securities fraud scheme.

Read More »

SEC Files a Complaint Against Two Florida Individuals and Business Entities for Orchestrating a $21 Million Hotel Project Scam

Posted on August 24th, 2018 at 9:32 AM
SEC Files a Complaint Against Two Florida Individuals and Business Entities for Orchestrating a $21 Million Hotel Project Scam

The SEC has filed a lawsuit against Florida businessmen, Joseph J. Walsh Sr. and Robert V. Matthews, along with their companies, Palm House Hotel LLLP and South Atlantic Regional Center LLC, for defrauding at least 88 investors out of $44 million.

Read More »

Florida Investment Adviser Sentenced to 5 Years in Prison for Stealing $6.5 Million From Several Clients

Posted on July 2nd, 2018 at 9:30 AM
Florida Investment Adviser Sentenced to 5 Years in Prison for Stealing $6.5 Million From Several Clients

Coral Gables, Florida investment adviser, Henry Meyer has been sentenced to more than five years in federal prison for stealing $6.5 million from several clients, including family members in the Chicago area. Meyer was also ordered to pay $6.5 million in restitution to the victims.

Read More »

Comparative Arbitration Statistics through January

Posted on March 13th, 2016 at 9:13 PM
Comparative Arbitration Statistics through January

FINRA has released statistics that show the relative activity in the regulatory authority over the past three years from the start of the year through the end of January. The data show interesting trends in the functionality of FINRA. 

Read More »

Upcoming FPA of the Suncoast Event: Salvaging a Bad Day

Posted on March 6th, 2016 at 8:28 PM
Upcoming FPA of the Suncoast Event: Salvaging a Bad Day

Protecting your reputation, licenses and marks is the topic for the upcoming FPA of the Suncoast Event called Salvaging a Bad Day that will take place at the Sarasota Yacht Club on Friday, March 11, 2016.

Read More »

Announcing Our New Boca Raton Location

Posted on February 14th, 2016 at 1:21 PM
Announcing Our New Boca Raton Location

Eccleston Law, LLC is the best law firm nationwide to service your needs. We represent financial advisors in all types of securities, employment, regulatory and licensing matters, as well as investors referred to us by advisors when they have been egregiously harmed. 

Read More »

TESTIMONIALS

Previous
Next

Thank you so very much for your guidance, patience, and expertise.

Beth and Steve K.

LATEST NEWS AND ARTICLES

September 23, 2022
CFP Board Lifts Interim Suspension of Former UBS Advisor

The Certified Financial Planner Board of Standards (CFP Board) has lifted an interim suspension it had imposed against a former UBS advisor after criminal fraud charges against him were recently dismissed.

September 22, 2022
FINRA Penalizes Baird Over $100 Trading Commissions

The Financial Industry Regulatory Authority (FINRA) has ordered Robert W. Baird & Co. to pay $461,481 plus interest due to allegations that the firm overcharged its clients on thousands of equity transactions for at least one year.

September 21, 2022
FINRA Arbitrators Award Nearly $470,000 To Investors in UBS YES Product

A Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered UBS to pay nearly $470,000 to clients who invested in a complex options strategy, known as the YES or Yield Enhancement Strategy.