Search for: "Jim Eccleston"
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22 May 2014, 7:01 am
From the Desk of Jim Eccleston at Eccleston Law Offices: FINRA has turned its attention towards indexed annuities. [read post]
29 Jul 2015, 7:01 am
From the Desk of Jim Eccleston at Eccleston Law LLC:Timothy J. [read post]
20 Aug 2015, 10:52 am
From the Desk of Jim Eccleston at Eccleston Law LLC: Recently, I read an interesting editorial. [read post]
8 Jul 2014, 7:01 am
From the Desk of Jim Eccleston at Eccleston Law Offices: Given the advantages of low operating expenses and ability to access asset classes that are not otherwise accessible via index mutual funds, more ETFs are expected to be invested 401(k) retirement plans. [read post]
20 Oct 2015, 2:34 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:Almost 250 ‘Relationship Managers’ and hundreds more operations personnel and executives at Credit Suisse US Private Bank will officially become part of Wells Fargo.It is no surprise to some that Wells Fargo is the bid winner. [read post]
Two UBS Advisory Firms Settle Charges Arising From Failure to Disclose Change in Investment Strategy
3 Nov 2015, 6:16 am
From the Desk of Jim Eccleston at Eccleston Law LLC:The Securities and Exchange Commission announced that two UBS advisory firms agreed to settle charges relating to their failing to disclose a change in investment objective of a close-end fund, UBS Willow Fund LLC, which they advised. [read post]
10 Jan 2016, 5:07 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:On December 18th, the SEC announced the settlement of two JP Morgan Chase & Co. wealth management subsidiaries for failing to disclose multiple conflicts of interest to investors. [read post]
1 Sep 2016, 1:39 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:FINRA Rule 5240 was enacted to stop fraudulent and manipulative actions in order to protect investors and the public interest.FINRA Rule 5240(a) specifically identifies three general types of conduct inconsistent with just and equitable principles of trade. [read post]
15 Aug 2014, 7:01 am
From the Desk of Jim Eccleston at Eccleston Law Offices: Claude Darrell McDougal, a former registered investment advisor from Charlotte, pleaded guilty to orchestrating a Ponzi scheme. [read post]
26 Jun 2015, 12:52 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:Small broker-dealers face increasing regulatory costs, and that is forcing them to decide their business path. [read post]
2 Sep 2016, 8:30 am
From the Desk of Jim Eccleston at Eccleston Law LLC:FINRA has suspended financial advisor Adam Estes of Bloomington, Indiana, for 15 months after finding that he engaged in private securities transactions without his firm’s permission. [read post]
27 Mar 2015, 12:02 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:Cambridge Investment Research Inc., an independent broker-dealer, is expanding a current offering by a sister company, Continuity Partners Group to provide capital for succession planning and acquisitions to its affiliated advisers.Cambridge Investment Research has seen steady growth over the past dozen years and, with $650 million in total revenues in 2014, is one of the 10 largest independent broker-dealers in the… [read post]
10 Aug 2016, 2:14 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:Under the new Labor Department regulation set to become effective on December 1, 2016, any employee who makes less than $47,476 per year, or $913 per week, will receive overtime compensation. [read post]
22 Apr 2014, 10:30 am
From the Desk of Jim Eccleston at Eccleston Law Offices: Edward Dulin, a broker currently working at Bank of America Corp’s Merrill Lynch unit, alleged his ex-employer UBS AG misled its advisors about the financial health of Lehman Brothers Holdings Inc. [read post]
29 Oct 2014, 9:31 pm
From the Desk of Jim Eccleston at Eccleston Law Offices: Ismail Elmas, a former registered financial advisor with CUSO Financial, has pleaded guilty to defrauding his clients, many of whom were seniors and widows, of more than $1 million. [read post]
19 Nov 2015, 6:35 am
From the Desk of Jim Eccleston at Eccleston Law LLC:Massachusetts securities division has charged Fidelity Brokerage Services LLC with knowingly allowing unregistered individuals to act as investment advisors for Fidelity customers.Fidelity allowed more than a dozen unregistered individuals to use trading authorizations for more than 300 accounts, despite internal concerns that the individuals should be registered as investment advisors.However, Fidelity’s own… [read post]
18 Aug 2014, 7:01 am
From the Desk of Jim Eccleston at Eccleston Law Offices: The SEC charged three Morgan Stanley entities with misleading investors in a pair of residential mortgage-backed securities (RMBS) securitizations that the firms underwrote, sponsored, and issued. [read post]
27 Sep 2016, 7:34 am
From the Desk of Jim Eccleston at Eccleston Law LLC:LPL Financial is changing the way it pays commissions to its brokers when they sell routine investment products like mutual funds and variable annuities.The move was made because of the final Department of Labor Fiduciary Rule issued in April. [read post]
29 Sep 2014, 3:53 pm
From the Desk of Jim Eccleston at Eccleston Law Offices: FINRA is launching a new rule that would require brokers to put in place written procedures to verify the accuracy of information contained in their Forms U-4, the foundation for broker profiles on the FINRA’s BrokerCheck database. [read post]
14 Nov 2014, 12:01 pm
From the Desk of Jim Eccleston at Eccleston Law Offices: Charles Schwab and Co. [read post]
