Search for: "Jim Eccleston"
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26 May 2015, 2:10 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:A former New York based broker-dealer, Arjent LLC and its UK-based affiliate, Arjent Limited, were on the edge of insolvency when the company Chairman and CEO Robert P. [read post]
17 Apr 2015, 12:01 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:Two California oil-and-gas companies, their principal, and four sales associates have been accused by the SEC of a long-term fraudulent oil and gas scheme.From 2007 to 2012, Team Resources, Inc. and Fossil Energy Corp. raised over $33 million from approximately 475 investors nationwide through eight unregistered offerings of oil-and-gas partnership interests. [read post]
3 Jul 2014, 7:01 am
From the Desk of Jim Eccleston at Eccleston Law Offices: The Municipal Securities Rulemaking Board (MSRB) introduced a tool designed to enable users to more easily find and compare prices for municipal securities with similar characteristics on its Electronic Municipal Market Access (EMMA) website. [read post]
29 Dec 2015, 11:36 am
From the Desk of Jim Eccleston at Eccleston Law LLC:Two men have been found guilty in a $10 million investment fraud case. [read post]
11 Feb 2015, 12:01 pm
From the Desk of Jim Eccleston at Eccleston Law Offices:According to a recent FINRA disclosure, Vadim Lubarsky resigned from his firm, Commonwealth Financial Network, for failing to disclose an outside business activity and his associated involvement with the sale of promissory notes without approval by his brokerage firm.In the securities industry, when a stockbroker like Vadim Lubarsky sells investments such as promissory notes which are not approved by the brokerage… [read post]
24 Oct 2014, 8:58 am
From the Desk of Jim Eccleston at Eccleston Law Offices: The SEC announced an enforcement action against a former Wells Fargo Advisors compliance officer for altering documents without authorization during an investigation by the SEC. [read post]
10 Feb 2015, 3:26 pm
From the Desk of Jim Eccleston at Eccleston Law Offices:A recent Labor Department report showing the biggest job gain in 17 years has triggered a fall in the U.S. real estate investment market since September. [read post]
16 Jun 2015, 8:30 am
From the Desk of Jim Eccleston at Eccleston Law LLC:William Quigley, former Chief Compliance Officer of Trident Partners Ltd, has been charged with conspiracy to commit wire fraud and money laundering conspiracy in connection with an investment scheme. [read post]
19 Aug 2014, 1:00 pm
From the Desk of Jim Eccleston at Eccleston Law Offices: Donna Tucker, a former UBS Wealth Management Americas broker, was charged by the SEC with perpetrating a five-year Ponzi scheme. [read post]
10 Nov 2015, 1:38 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:In a recent SEC administrative proceeding, Scott Doak, of Xenia, Ohio agreed to settle charges that he had committed securities and advisor fraud.Doak was an emergency room physician before becoming a wealth advisor. [read post]
12 Aug 2016, 7:22 am
From the Desk of Jim Eccleston at Eccleston Law LLC:The Financial Industry Regulatory Authority (FINRA) recently barred a broker by the name of Brian James Egan from Laguna Nigel, California, after he failed to disclose 87 outside trading accounts to his employer Independent Financial Group. [read post]
9 Sep 2016, 12:13 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:The Securities and Exchange Commission has awarded the second largest total whistleblower award of $22 million to a former employee whose detailed tip and extensive assistance helped the agency halt a well-hidden fraud at the company.Since the SEC’s whistleblower program started in 2011, the largest ever whistleblower award was $30 million. [read post]
15 May 2015, 9:01 am
From the Desk of Jim Eccleston at Eccleston Law LLC: Rana Prasad, a broker from San Diego, California, and his employer Stonehaven LLC, a securities brokerage firm in New York, are accused of soliciting 14 Kansas investors to invest in limited partnership interests of the Pathfinder Partners Opportunity Fund III. [read post]
7 Aug 2015, 1:23 pm
From the Desk of Jim Eccleston at Eccleston Law LLC: FINRA has reached a $1 million settlement with Morgan Stanley Wealth Management and Scottrade Inc. [read post]
22 Dec 2014, 12:01 pm
From the Desk of Jim Eccleston at Eccleston Law Offices: FINRA has barred Illinois broker Eric William Johnson for illegally and unethically arranging for the transfer of funds from client accounts. [read post]
5 May 2014, 7:01 am
From the Desk of Jim Eccleston at Eccleston Law Offices: A 56-year-old civil engineer lost 80 percent of his investment, about $45,000 on the wrong end of a particular ETN known as TVIX when it crashed a week after he bought it. [read post]
FINRA Fines LPL Financial $950,000 for Violation Related to Sales of Alternative Investment Products
4 Apr 2014, 7:01 am
From the Desk of Jim Eccleston at Eccleston Law Offices: FINRA has fined LPL Financial $950,000 for supervisory deficiencies related to its sales of a wide range of alternative investment products including nontraded REITs, oil and gas partnerships, business development companies, hedge funds, managed futures and other illiquid investments. [read post]
20 May 2014, 7:02 am
From the Desk of Jim Eccleston at Eccleston Law Offices: Older investors, who invested in Puerto Rico bond funds, have sued UBS, claiming that the firm took advantage of them by putting them in mutual funds holding heavy positions in Puerto Rico bond funds that it portrayed as safe, secure and not risky. [read post]
28 Oct 2014, 5:35 am
From the Desk of Jim Eccleston at Eccleston Law Offices: Massachusetts securities regulators have fined LPL Financial for oversight failure associated with its sales of variable annuities. [read post]
27 Feb 2015, 9:48 am
From the Desk of Jim Eccleston at Eccleston Law Offices:FINRA has accused World Equity Group, an Illinois based brokerage firm, of failing to supervise the sale of non-traditional Exchange Traded Funds (ETFs), failing to properly document due diligence performed on private placements.ETFs are used to track the performance of an index, and replicate the market’s performance. [read post]
