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Tagged with "securities litigation"

Court Issues Split Ruling in Edelman Advisor Dispute

Posted on April 15th, 2026 at 4:55 PM
Court Issues Split Ruling in Edelman Advisor Dispute

A federal court in Delaware has delivered a mixed decision in a dispute between Edelman Financial Engines and Prime Capital Financial, underscoring the legal limits of restrictive covenants in the advisory space.

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FINRA Arbitration Panel Orders Fidelity to Pay $1.3 Million Over Structured Product Disputes

Posted on April 6th, 2026 at 1:28 PM
FINRA Arbitration Panel Orders Fidelity to Pay $1.3 Million Over Structured Product Disputes

A Financial Industry Regulatory (FINRA) arbitration panel has ordered Fidelity Brokerage Services to pay approximately $1.3 million to two groups of clients who alleged misconduct tied to structured product investments, according to ThinkAdvisor.

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Bankruptcy Court Orders Emerson Equity to Produce Records in Inspired Healthcare Case

Posted on March 17th, 2026 at 11:13 AM
Bankruptcy Court Orders Emerson Equity to Produce Records in Inspired Healthcare Case

A federal bankruptcy court in Fort Worth has ordered Emerson Equity to produce documents connected to the sale of private securities issued by Inspired Healthcare Capital, according to InvestmentNews.

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Concorde Investment Services Faces Scrutiny Over Sales of Inspired Healthcare Private Investments

Posted on March 16th, 2026 at 12:32 PM
Concorde Investment Services Faces Scrutiny Over Sales of Inspired Healthcare Private Investments

Concorde Investment Services is facing increased scrutiny following the bankruptcy of Inspired Healthcare Capital, whose private investment offerings were widely sold through independent broker dealers, according to InvestmentNews.

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Eighth Circuit Rejects Emergency Injunction in Advisor Departure Dispute

Posted on February 27th, 2026 at 12:21 PM
Eighth Circuit Rejects Emergency Injunction in Advisor Departure Dispute

A federal appeals court ruled against an advisory firm seeking immediate, injunctive relief after a team of advisors left with hundreds of millions in client assets.

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James Eccleston Named 2026 Super Lawyer in Securities Litigation

Posted on January 26th, 2026 at 4:39 PM
James Eccleston Named 2026 Super Lawyer in Securities Litigation

Eccleston Law announces James Eccleston's selection to the 2026 Illinois Super Lawyers list, continuing a track record of excellence since 2005.

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April 15, 2026
Court Issues Split Ruling in Edelman Advisor Dispute

A federal court in Delaware has delivered a mixed decision in a dispute between Edelman Financial Engines and Prime Capital Financial, underscoring the legal limits of restrictive covenants in the advisory space.