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Tagged with "Goldman Sachs"

Attorney Eccleston Quoted in Barron's Article

Posted on November 1st, 2023 at 9:46 AM
Attorney Eccleston Quoted in Barron's Article

Attorney Jim Eccleston was recently quoted in a Barron's Article on Goldman Sachs' intent to pursue arbitration after dozens of advisors left the firm following the announcement that its Personal Financial Management unit was being sold to Creative Planning. 

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Goldman Sachs and JPMorgan Join $500 Million Lawsuit Settlement

Posted on September 15th, 2023 at 1:35 PM
Goldman Sachs and JPMorgan Join $500 Million Lawsuit Settlement

Goldman Sachs Group Inc., Morgan Stanley, JPMorgan Chase & Co., and UBS AG have agreed to settle an antitrust class action by pension funds over their control of the market for stock loans for hedging and short selling, according to Bloomberg Law.

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Former Texas Advisor Pleads Guilty in Multi-Million Dollar Ponzi Scheme

A former financial advisor and media personality in San Antonio has admitted to defrauding clients in a large-scale Ponzi scheme involving hundreds of investors and millions of dollars, according to reporting by Financial Advisor News.

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SEC Charges Adviser's Estate and Firm in Alleged $1.68 Million Client Fund Misappropriation Scheme

The Securities and Exchange Commission has filed a civil enforcement action against the estate of former investment adviser John R.

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Hightower Advisors Faces Class Action Over Alleged Data Breach

Hightower Holding LLC is facing a class action lawsuit alleging that the firm failed to protect sensitive personal information following a data breach affecting thousands of individuals, according to reporting by Financial Advisor News.