Tagged with "NFL"

Adviser Swindled $4.5 Million From a Former NFL Player to Pay Personal Expenses

Posted on July 13th, 2017 at 10:27 AM
Adviser Swindled $4.5 Million From a Former NFL Player to Pay Personal Expenses

The U.S. Attorney’s Office for the Southern District of Indiana has announced the indictment of independent adviser, Kenneth Ray Cleveland, 63, of Agoura Hills, California with seven counts of wire fraud and three counts of money laundering.

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Quad Cities Real Estate Developer Pleads Guilty to Investment Fraud Scheme

Posted on June 20th, 2017 at 9:32 AM
Quad Cities Real Estate Developer Pleads Guilty to Investment Fraud Scheme

Rock Island, Illinois, businessman Todd B. Raufeisen, entered guilty pleas to one count each of wire fraud and money laundering in a U.S. District Court in Illinois.

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FINRA Proposes to Add a BrokerCheck Alert on High-Risk Firms

Posted on June 15th, 2017 at 9:24 AM
FINRA Proposes to Add a BrokerCheck Alert on High-Risk Firms

FINRA’s board has proposed adding an “alert” to the BrokerCheck report of member firms that employ a large percentage of brokers who previously worked for high-risk firms.

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FINRA Fines Former Sterne Agee Rep for Transactions Involving Variable Annuities

Posted on June 14th, 2017 at 1:30 PM
FINRA Fines Former Sterne Agee Rep for Transactions Involving Variable Annuities

FINRA has suspended former Sterne, Agee & Leach rep, James Keith Cox, for four months and fined him $10,000 for violating FINRA rules regarding transactions involving variable annuities.

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NFL Running Back Darren McFadden Sues Ameriprise For Fraud

Posted on June 13th, 2017 at 2:59 PM
NFL Running Back Darren McFadden Sues Ameriprise For Fraud

Current Dallas Cowboy running back, Darren McFadden, who sued his former advisor, Michael E. Vick, last June for misappropriating $15 million, has decided to sue the advisor’s firm, Ameriprise Financial. 

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I learned two important things working with Eccleston Law. First, I made a friend and ally with Jim and Steph for life. Secondly, and this is a crucial life lesson - if you need counsel, then seek out the very best. Jim was referred to me by a most trusted source. I've never had to hire an attorney for anything. Now, I know the value of hiring an important partner. Meticulous, thorough and detailed in preparation is the best way to describe Jim. Brilliant too, I might add. Bottom line, I would highly highly recommend Jim and Stephany for your legal needs. One of the best life decisions I've ever made.

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LATEST NEWS AND ARTICLES

April 24, 2024
RIA Insurance Claims Skyrocket

A recent analysis by Golsan Scruggs reveals a staggering 231 percent increase in errors-and-omissions (E&O) liability claims among registered investment advisor (RIA)
insurers.

April 23, 2024
Surge Predicted in Regulation Best Interest Cases

According to a recent analysis, Reg BI-related actions quickly have ascended to the top five issues for FINRA, with fines totaling $6 million in 2023.

April 22, 2024
FINRA Fines Independent Broker-Dealers Over Cybersecurity Lapses

The Financial Industry Regulatory Authority (FINRA) has imposed fines and censured independent broker-dealers Osaic Wealth and Securities America for cybersecurity deficiencies that led to hackers accessing the private information of more than 32,000 customers.