Tagged with "Investors"

Eccleston Law LLC Investigates Recovery Options for NRIA Investors

Posted on June 23rd, 2022 at 8:33 AM
Eccleston Law LLC Investigates Recovery Options for NRIA Investors

Headquartered in Secaucus, NJ, National Realty Investment Advisors (NRIA) recently declared bankruptcy amid investor redemption requests, federal and state investigations, and unsustainable debt.

 
 

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Large GPB Fund Posts Revenue and Income Growth

Posted on May 26th, 2022 at 10:42 AM
Large GPB Fund Posts Revenue and Income Growth

After considerable delay, GPB Capital Holdings finally has released financial statements to its investors regarding one of its largest funds.

 
 

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SEC Amends Definition of Accredited Investor

Posted on August 27th, 2020 at 2:20 PM
SEC Amends Definition of Accredited Investor

The U.S. Securities and Exchange Commission (“SEC”) announced that it has amended the definition of “accredited investor.”

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Tips for Investors Who Have Suffered Losses (or, It’s Low Tide--Who Has Been Swimming Naked?)

Posted on March 18th, 2020 at 1:37 PM
Tips for Investors Who Have Suffered Losses (or, It’s Low Tide--Who Has Been Swimming Naked?)

Investors undoubtedly have suffered losses during the most recent market downturn. Do these investors have recourse to recover those losses in securities arbitration? To answer that question, let’s explore three fertile areas of recovery.

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The SEC's New Bulletin on Indexed Annuities

Posted on August 29th, 2019 at 3:58 PM
The SEC's New Bulletin on Indexed Annuities

The Securities and Exchange Commission's Office of Investor Education and Advocacy recently issued a bulletin to educate investors about indexed annuities. Indexed annuities are complex products, and as such investors should carefully read the indexed annuity contract and any prospectus, before buying the annuity. Let's highlight the key points of the bulletin.

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SEC Charges Fuel Cell Company with Defrauding Investors

Posted on February 23rd, 2017 at 8:49 AM
SEC Charges Fuel Cell Company with Defrauding Investors

The SEC charged a California-based penny stock company, along with four corporate officers, with misleading investors about the research, development, and profitability of its purported business to manufacture power generation products such as fuel cells.

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SEC Charges Connecticut Based Investment Advisory Firm With Stealing Investor Funds

Posted on February 6th, 2017 at 9:07 AM
SEC Charges Connecticut Based Investment Advisory Firm With Stealing Investor Funds

The Securities and Exchange Commission has charged a Connecticut-based investment advisory firm, Sentinel Growth Management and its founder Mark J. Varacchi with stealing money from investors. 

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FINRA Fines Houlihan Capital and President David Smith

Posted on December 20th, 2016 at 9:34 AM
FINRA Fines Houlihan Capital and President David Smith

Houlihan Capital, LLC of Chicago, Illinois has submitted a Letter of Acceptance, Waiver and Consent (AWC) for its participation in the offering of a private placement of securities for a companyseeking to raise $5 million through the sale of subordinated convertiblepromissory notes. 

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Ponzi Scheme Operator Charged with Fraud

Posted on November 23rd, 2016 at 9:33 AM
Ponzi Scheme Operator Charged with Fraud

Carlos Maldonado, owner of Business Planning Resources International Corporation (BPRIC), and associated under the incorporation documents with Pet Card Systems, Inc., and Datavos Corporation, was arrested and charged with securities fraud and bank fraud . 

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SEC Charges Texas Company and Its President in Oil-And-Gas Scheme

Posted on November 21st, 2016 at 12:13 PM
SEC Charges Texas Company and Its President in Oil-And-Gas Scheme

The SEC filed charges on October 24 against Southlake Resources Group, LLC, its president, Cody M. Winters, and its vice president, Nicholas R. Hamilton. 

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TESTIMONIALS

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If the regulators are after you, and are trying to make a case against you, and you are going to contest their allegations against you, make sure you have the best securities industry defense lawyers, Eccleston Law Firm. My case was spun into a combination of penalties including fines, cash settlements, CE courses and suspension. They were the best I have seen in action. When all was said and done, they had done their magic, my situation was negotiated and settled with a simple "letter of caution" and a case closed without action. It is the most important legal business decision you will ever make, make it Eccleston Law.

Rick R.

LATEST NEWS AND ARTICLES

August 16, 2022
SEC Warns Financial Advisory Firms Regarding Conflicts of Interest Tied to Compensation

The Securities and Exchange Commission (SEC) has sent a warning to financial advisory firms that they must go above and beyond solely disclosing conflicts of interest related to employee pay programs in order to avoid regulatory scrutiny. 

August 15, 2022
FINRA Proposal Would Permit Private Homes to Serve as Non-Branch Offices

The Financial Industry Regulatory Authority (FINRA) has filed proposed changes to FINRA Rule 3110 with the Securities and Exchange Commission (SEC).

August 12, 2022
SEC Charges J.P. Morgan, UBS, and TradeStation for Deficiencies Pertaining to the Prevention of Customer Identify Theft

The Securities and Exchange Commission (SEC) has charged J.P. Morgan Securities, UBS Financial Services, and TradeStation Securities over deficiencies in their programs designed to prevent client identify theft, which violates the SEC’s Identity Theft Red Flags Rule, or Regulation S-ID.