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 9, 2026
FINRA Sanctions Former Wells Fargo Advisor for Profile Falsification and Unauthorized Trading

The Financial Industry Regulatory Authority (FINRA) disciplined former Wells Fargo Advisors broker James E. Holmes III for misconduct tied to his falsifying customer information and unauthorized trading.

January 8, 2026
Georgia Investment Advisor Pleads Guilty to Ponzi Scheme

A former Georgia investment adviser has pleaded guilty to wire fraud after federal prosecutors accused his firm of operating a multiyear Ponzi scheme that cost investors millions of dollars, as reported by Financial Advisor News.

January 7, 2026
FINRA Releases 2026 Regulatory Oversight Report, Spotlighting Private Placement Compliance Risks

The Financial Industry Regulatory Authority (FINRA) released its 2026 Annual Regulatory Oversight Report, responding directly to member feedback and reinforcing its stated mission to protect investors and promote market integrity.