Tagged with "Uniform Fiduciary Standard"

A New Era in Securities Supervision and Compliance Developments

Posted on February 19th, 2015 at 2:49 PM

2014 brought a new era of securities regulation, with the changing of the guard at the Securities and Exchange Commission (“SEC”) during 2013, and the appointment of Mary Jo White as Chair. Th e SEC made clear that 2014, the year of the organization’s 80th anniversary, would feature stricter enforcement, increased examinations and a continued focus on creating and implementing cultures of compliance and disclosure throughout the industry. Th e Financial Industry Regulatory Authority, Inc. (“FINRA”), a self-regulatory organization (“SRO”) regulated by the SEC, similarly promulgated guidance refl ecting a focus on compliance, supervision and disclosure. James Eccleston and Christine Goodrich of Eccleston Law, LLC detail the regulatory changes and guidance issuesd by FINRA and the SEC.

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James Eccleston and Christine Goodrich on Potential Implications of a Uniform Fiduciary Standard

Posted on December 16th, 2014 at 5:03 PM

James Eccleston and Christine Goodrich delivered a presentation on 12/16/14 to attorneys at the Chicago Bar Association.  Their topic, “Potential Implications of a Uniform Fiduciary Standard” draws on their work published last year in the journal,  Practical Compliance & Risk Management For the Securities Industry, which is attached here. They are writing again this year for the journal.  Their work will be published in early 2015.


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December 3, 2021
FINRA Issues Fine to Small Advisory Firm Over Material Misrepresentations

The Financial Industry Regulatory Authority has censured and issued a $250,000 fine to a Los Angeles-based advisory firm, WestPark Capital Inc., for making material misrepresentations pertaining to promissory notes offered by its parent company.

December 2, 2021
FINRA Imposes Suspension on Ohio-Based Advisor Over Outside Investments

The Financial Industry Regulatory Authority (FINRA) has issued a one-year suspension and $12,500 fine to an Ohio-based advisor, William LeBoeuf, who worked at Merrill Lynch and Cetera Advisor Networks when the violations occurred.

December 1, 2021
SEC Charges Former Illinois Edward Jones Advisor With Fraud

The Securities and Exchange Commission (SEC) has charged a former Illinois-based investment advisor, Ronald Molo, with defrauding three clients out of at least $800,000.