Search for: "Jim Eccleston"
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1 May 2015, 12:01 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:FINRA has accused David Lee Shafranek, a former broker with Citigroup Global Markets, of outside business activity. [read post]
26 Aug 2015, 8:55 am
From the Desk of Jim Eccleston at Eccleston Law LLC: The SEC is pursuing charges against Equity Trust Co., a Ohio based IRA provider. [read post]
12 Sep 2016, 6:39 am
From the Desk of Jim Eccleston at Eccleston Law LLC:Last month, a lawsuit was filed against Morgan Stanley in Manhattan federal court. [read post]
6 May 2014, 7:02 am
From the Desk of Jim Eccleston at Eccleston Law Offices: David Bridges, a former registered broker employed by NYLife Securities LLC, Allstate Financial Services, LLC, MML Investors Services, Inc., and Northwestern Mutual Investment Services, LLC. was charged with bilking investors out of more than $650,000. [read post]
15 Nov 2014, 12:01 pm
From the Desk of Jim Eccleston at Eccleston Law Offices: FINRA has barred a former broker from Stifel, Nicolaus & Company, Incorporated, Robert Head, of unauthorized trading for his client. [read post]
20 Sep 2016, 1:30 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:The Securities and Exchange Commission has barred Logos Wealth Advisors founder Paul Mata and his fund manager David Kayatta forfraudulently raising more than $14 million from investors. [read post]
19 May 2014, 7:01 am
From the Desk of Jim Eccleston at Eccleston Law Offices: FINRA has fined Morgan Stanley $5 million for allegedly failing to keep watch over how its financial advisers solicited client interest in 83 initial public offerings, including some big-ticket offerings such as Yelp and Facebook. [read post]
28 Jan 2015, 12:01 pm
From the Desk of Jim Eccleston at Eccleston Law Offices: Charles D. [read post]
17 Apr 2014, 7:01 am
From the Desk of Jim Eccleston at Eccleston Law Offices: Transamerica Financial Advisors, the St. [read post]
1 Sep 2015, 11:34 am
From the Desk of Jim Eccleston at Eccleston Law LLC:According to a recent study, the average annualized return for the hedge fund industry since 1996 decreases from 12.6 percent to just 6.3 percent after the biases that hedge funds used to compile their results are removed from the data.The main biases include “backfill bias” or “instant history bias”, which means hedge funds generally begin reporting their returns to the database once they have… [read post]
25 Sep 2015, 11:11 am
From the Desk of Jim Eccleston at Eccleston Law LLC:FINRA voted to move ahead with new regulatory initiatives for broker-dealers. [read post]
30 Nov 2015, 6:31 am
rom the Desk of Jim Eccleston at Eccleston Law LLC:Harry Hammond accepted the sanctions and initial findings that he was involved in private securities transactions without the approval of his firm. [read post]
26 Jan 2016, 8:52 am
From the Desk of Jim Eccleston at Eccleston Law LLC:On December 15th the SEC announced it will charge Atlantic Asset Management LLC with violations of the antifraud provisions of the Investment Advisers Act of 1940. [read post]
10 Apr 2015, 7:01 am
From the Desk of Jim Eccleston at Eccleston Law LLC:Raymond Daniel Schmidt, a former LPL Financial broker, has been permanently barred by FINRA. [read post]
5 Mar 2015, 11:19 am
From the Desk of Jim Eccleston at Eccleston Law Offices:Daniel Spitzer, an Illinois resident, pleaded guilty for perpetrating a $105 million Ponzi scheme, bilking about 280 investors including his brother-in-law.Spitzer used several entities and sales agents to misrepresent to investors that their money would be invested in investment funds that, in turn, would be invested primarily in foreign currencies.Spitzer managed the Kenzie Funds, which lost $34 million from 2004 to… [read post]
15 Jul 2014, 6:13 am
From the Desk of Jim Eccleston at Eccleston Law Offices: Total Wealth Management, a San Diego-based investment advisory firm, was charged by the SEC with misleading investors and breaching their fiduciary duties to clients. [read post]
16 Apr 2015, 12:01 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:New Hampshire securities regulators fined LPL Financial $3.6 million for allegedly selling unsuitable real estate investments to elderly clients.According to the New Hampshire Bureau of Securities Regulation, since 2007, LPL has made 48 sales of nontraded real estate investment trusts, totaled approximately $2.4 million.One of the investors was an 81-year-old New Hampshire resident who invested $253,000 in the… [read post]
15 Jan 2015, 12:01 pm
From the Desk of Jim Eccleston at Eccleston Law Offices: Two former brokers for MetLife Securities Inc., Christopher Birli and Patrick Chapin, pled guilty to orchestrating an annuity scheme. [read post]
11 Dec 2014, 8:15 am
From the Desk of Jim Eccleston at Eccleston Law Offices: FINRA has sanctioned Ameriprise and one of its brokers for altering documents and refusing to produce documents in an arbitration proceeding. [read post]
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]
