About
Who We Are
Testimonials
Disclaimers
Attorneys
For Advisors
Broker Transition
Transition Contract Review
Employment Matters
State Registration Problems & Discipline
FINRA Matters
Promissory Note Matters
CFP Board Matters
FINRA Enforcement Matters
State Registration Problems & Discipline
Transition Contract Review
Broker Litigation & Arbitration
Employment Matters
Regulatory Matters
Strategic Consulting
Whistleblower Law
Promissory Note Matters
Compliance Protection
Lawyer Referral Network
Expungement of CRD/BrokerCheck Disclosures
For Investors
Securities Fraud
Breach of Fiduciary Duty
Retirement Planning Negligence
Unauthorized Trading
Lawyer Referral Network
News & Articles
News
Articles
Financial Counsel Blog
Videos
Newsletter Signup
Contact
Site Menu
About
Attorneys
For Advisors
For Investors
News & Articles
Contact

Tagged with "Investment Advisor"

SEC Bars Connecticut Investment Adviser For Concealing Referral Fee

Posted on February 10th, 2017 at 12:21 PM
SEC Bars Connecticut Investment Adviser For Concealing Referral Fee

The SEC has barred Connecticut investment adviser John W. Rafal for allegedly concealing a referral fee.

Read More »

Dupree Financial Group Fined $25,000 and Censured for Compliance Failures

Posted on October 20th, 2016 at 11:36 AM
Dupree Financial Group Fined $25,000 and Censured for Compliance Failures

The SEC has fined and censured Dupree Financial Group, LLC (Dupree Financial) $25,000 for compliance failures. 

Read More »

Former Broker Accused of Outside Business Activities

Posted on February 13th, 2015 at 2:20 PM

FINRA accused James O. Maloney, a former broker from Metlife Securities, Inc of outside business activities.  

Read More »

Request a Free Consultation

Attorneys are standing by during regular business hours. Call us now for immediate service, or complete the form below and we will contact you as soon as possible.

 
Chicago
55 West Monroe St.
Suite 610
Chicago, Illinois 60603
(312) 332-0000
(312) 332-0003
New York City
One Liberty Plaza
165 Broadway, 23rd Floor
New York, New York 10006
(212) 203-9169
(312) 332-0003
Boca Raton
2255 Glades Road
Suite 324A
Boca Raton, Florida 33431
(312) 332-0000
(312) 332-0003
2018 © Eccleston Law, LLC.
All Rights Reserved.
The law is continuously changing. Please do not rely on information found on this site without consulting a lawyer to determine if any recent changes in the law may have an impact.