Tagged with "James Eccleston"

Ex-Merrill Lynch Advisor to Appeal Ruling Dismissing ERISA Class Action

Posted on April 23rd, 2025 at 11:52 AM
Ex-Merrill Lynch Advisor to Appeal Ruling Dismissing ERISA Class Action

A former Merrill Lynch advisor plans to challenge a federal judge’s ruling that dismissed his proposed class action against the firm when it forfeited his deferred compensation.

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Former Morgan Stanley Advisor Sentenced to 12 Years in Prison for Multimillion-Dollar Fraud

Posted on April 21st, 2025 at 11:14 AM
Former Morgan Stanley Advisor Sentenced to 12 Years in Prison for Multimillion-Dollar Fraud

Jesus Rodriguez de la Cruz, a former Morgan Stanley advisor, has been sentenced to 12 years in federal prison for orchestrating a complex fraud scheme that misappropriated millions from clients and the firm itself, AdvisorHub reports.

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Attorney Eccleston Receives Highest Rating in Legal and Ethical Standards

Posted on March 3rd, 2025 at 11:12 AM
Attorney Eccleston Receives Highest Rating in Legal and Ethical Standards

James Eccleston has been awarded an AV Preeminent rating, the highest possible recognition for legal ability and ethical standards. Managed by Martindale-Hubbell, this recognition signifies professional achievement in the legal community.

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James Eccleston Named 2025 Preeminent Attorney

Posted on January 2nd, 2025 at 4:10 PM
James Eccleston Named 2025 Preeminent Attorney

James Eccleston has been awarded the highest possible rating in legal ability by Martindale-Hubbell. 

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LATEST NEWS AND ARTICLES

January 16, 2026
SEC Signals Sweeping IPO Rule Changes to Ease Path for Smaller Companies

The Securities and Exchange Commission (SEC) plans to overhaul its public offering framework to make it easier for smaller companies to access the public markets, according to remarks SEC Chairman Paul Atkins delivered at the New York Stock Exchange, as reported by Bloomberg Law.

January 15, 2026
FINRA Flags Risks of Early Withdrawals and Exchanges in Registered Index-Linked Annuities

The Financial Industry Regulatory Authority (FINRA) has issued a renewed warning to the industry about the risks consumers face when they exit registered index-linked annuities (RILAs) before the end of the contract term.

January 14, 2026
FINRA Fines and Suspends Wells Fargo Advisor Over Fictitious Expense Claims

The Financial Industry Regulatory Authority (FINRA) fined and suspended a Wells Fargo Advisors representative in Waco, Texas, after finding that he submitted fictitious business expense claims, according to a FINRA Acceptance, Waiver and Consent (AWC) letter.