Search for: "Jim Eccleston"
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28 Aug 2014, 9:54 am
From the Desk of Jim Eccleston at Eccleston Law Offices: Gabriel Bitran, a former professor at the Massachusetts Institute of Technology and associate dean at its business school, and his son Marco Bitran, pleaded guilty to criminal charges that they lied about their investment record. [read post]
9 Apr 2015, 7:45 am
From the Desk of Jim Eccleston at Eccleston Law LLC:Ronald Paul Rafaloff, a former broker from Liberty Partners Financial Specialist, LLC, has been barred by FINRA and ordered by the New Jersey Bureau of Securities to pay $200,000 in civil penalties for defrauding his elderly client.Rafaloff used $405,000 invested by the client (his sole client in fact) to fund companies that he founded and controlled. [read post]
4 Jun 2015, 8:42 am
From the Desk of Jim Eccleston at Eccleston Law LLC:FINRA has re-proposed a rule that would require brokerage firms to inform clients of their recruitment practices. [read post]
29 Aug 2016, 1:03 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:In the beginning of this year, the CFP Board took away any CFPs’ rights to sue the Board in court and imposed a new mandatory arbitration policy. [read post]
11 Sep 2015, 11:25 am
From the Desk of Jim Eccleston at Eccleston Law LLC:A Texas based broker-dealer, WFG Investments, has been fined by Texas Securities Commissioner John Morgan for failing to determine whether the sales of alternative investments exposed clients to excessive risks.WFG failed to ensure that its brokers were selling suitable investments and failed to monitor how large a percentage of a customer’s account could be held in alternative investments, such as real estate… [read post]
21 Jul 2014, 5:57 am
From the Desk of Jim Eccleston at Eccleston Law Offices: Abraxas J. [read post]
27 Oct 2015, 1:48 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 officially may become part of Wells Fargo.Wells Fargo appears to be the bid winner.A common prediction is that most of the advisors with Credit Suisse will end up on Wells Fargo’s UHNW platform - Abbott Downing. [read post]
19 Jun 2015, 7:53 am
From the Desk of Jim Eccleston at Eccleston Law LLC:The SEC filed two cases against Todd M. [read post]
4 Oct 2016, 7:08 am
From the Desk of Jim Eccleston at Eccleston Law LLC: The SEC has issued an enforcement order against former millionaire Karl Hahn of New Hampshire as he awaits sentencing on November 22 for a $2 million fraud scheme in the U.S. [read post]
5 Sep 2014, 2:03 pm
From the Desk of Jim Eccleston at Eccleston Law Offices: Anthony Diaz, a broker from Pennsylvania has agreed to charges by the FINRA that he made unsuitable investments. [read post]
17 Aug 2015, 2:17 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:Bank of America has recently fired a broker who was formerly in charge of $2.5 billion in assets. [read post]
9 Sep 2015, 6:16 am
From the Desk of Jim Eccleston at Eccleston Law LLC:Cetera Financial Group will shut down J.P. [read post]
23 Dec 2014, 12:01 pm
From the Desk of Jim Eccleston at Eccleston Law Offices: A panel of securities industry arbitrators awarded two military personnel $7.6 million for wrongful discharge and for violations of USERRA, the federal law that protects military personnel from workplace harassment and retaliation. [read post]
15 Jul 2015, 9:53 am
From the Desk of Jim Eccleston at Eccleston Law LLC:Li-Lin Hsu was fired from Ameriprise Financial after listing herself as a beneficiary on an insurance product she sold to a client. [read post]
11 Apr 2014, 7:01 am
From the Desk of Jim Eccleston at Eccleston Law Offices: A FINRA arbitration panel ordered Robert W. [read post]
13 Jun 2014, 7:01 am
From the Desk of Jim Eccleston at Eccleston Law Offices: Jeffrey M. [read post]
7 Jul 2014, 7:01 am
From the Desk of Jim Eccleston at Eccleston Law Offices: Several Ohio residents were charged by the SEC with defrauding nearly $21 million from approximately 50 people in a Ponzi scheme. [read post]
22 Oct 2014, 8:52 am
From the Desk of Jim Eccleston at Eccleston Law Offices: Frank Spinosa, a former regional vice president of TD Bank, has been charged for his involvement in jailed attorney Scott Rothstein’s $1.4 billion Ponzi scheme. [read post]
1 Jul 2015, 10:13 am
From the Desk of Jim Eccleston at Eccleston Law LLC:In its latest round of restructuring, Morgan Stanley has altered the number of management roles at their branch, complex and regional levels. [read post]
3 Jun 2015, 12:47 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:The SEC charges that Gray Financial Group has breached its fiduciary duty by steering pension fund clients in the city of Atlanta to invest in products owned by the company. [read post]
