Search for: "Jim Eccleston"
Results 81 - 100
of 650
Sorted by Relevance
|
Sort by Date
5 Feb 2015, 12:01 pm
From the Desk of Jim Eccleston at Eccleston Law Offices:The SEC has launched a review of mutual fund companies to monitor their leveraged investments.Mutual funds that trade in leveraged loans or risky loans of all types have become popular since the 2008 financial crisis, with investors seeking higher-yielding loan products.Potential risks under those mutual funds frequently include redemption delays. [read post]
22 Sep 2015, 1:31 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:Walter F. [read post]
4 Aug 2015, 6:48 am
From the Desk of Jim Eccleston at Eccleston Law LLC: A battle between Wells Fargo Advisors and a former employee turned ugly when emails leaked showing the employee purportedly had funneled business to his new firm, while still employed at Wells Fargo.Wells Fargo accuses the rep of funneling business for eight months before he officially left the company. [read post]
7 Dec 2014, 5:01 pm
From the Desk of Jim Eccleston at Eccleston Law Offices: The SEC has charged Edwin Fujinaga, a Nevada-based businessman, and his company MRI International, Inc. with orchestrating an $800 million Ponzi scheme. [read post]
11 Mar 2015, 2:25 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:FINRA has fined LaSalle Securities for failing to exercise adequate due diligence on private placements. [read post]
19 Nov 2015, 6:34 am
From the Desk of Jim Eccleston at Eccleston Law LLC:Travis Shannon, a former financial advisor with Morgan Stanley Smith Barney from September 2008 to July 2013, was fired by Morgan Stanley for undisclosed outside business activities. [read post]
24 Feb 2015, 12:01 pm
From the Desk of Jim Eccleston at Eccleston Law Offices: First American Securities, Inc., an Ohio-based brokerage firm, was fined by FINRA for failing to implement, maintain and enforce a proper supervisory system. [read post]
12 Aug 2014, 10:45 am
From the Desk of Jim Eccleston at Eccleston Law Offices: According to a FINRA announcement, a 13-member Arbitration Task Force has been formed in order to improve the transparency, impartiality, and efficiency of FINRA’s securities arbitration forum. [read post]
1 May 2015, 8:25 am
From the Desk of Jim Eccleston at Eccleston Law LLC:The U.S. [read post]
29 Aug 2014, 9:58 am
From the Desk of Jim Eccleston at Eccleston Law Offices: Wells Fargo leads the 2014 recruiting game over Merrill Lynch, Morgan Stanley and UBS. [read post]
24 Dec 2014, 12:01 pm
From the Desk of Jim Eccleston at Eccleston Law Offices: David McQueen and Trent Francke, pled guilty and were sentenced to prison for defrauding investors in a $46.5 million Ponzi scheme. [read post]
6 Feb 2015, 12:01 pm
From the Desk of Jim Eccleston at Eccleston Law Offices:According the SEC, VERO Capital Management and its president Robert Geiger, general counsel George Barbaresi, and chief financial officer Steven Downey operated a pair of funds represented to have a goal of investing primarily in mortgage-backed securities. [read post]
21 May 2015, 12:01 pm
The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities and employment matters. [read post]
14 Jul 2015, 7:01 am
From the Desk of Jim Eccleston at Eccleston Law LLC:Sean M. [read post]
22 Apr 2015, 12:01 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:Idaho broker Michael Justin Hoopes pleaded guilty to wire fraud and engaging in monetary transactions in property from illegal activity. [read post]
9 Jun 2015, 1:48 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:The Ontario Securities Commission is stepping up its efforts to protect seniors.The regulator is concerned that nearly 60% of older Canadians experience some sort of major event, including lost income or investments, which has a significant impact on their financial plans.Additionally, seniors particularly are vulnerable to investment and sales tactics that do not address their unique investing needs. [read post]
7 May 2014, 7:01 am
From the Desk of Jim Eccleston at Eccleston Law Offices: Charles Schwab & Co. [read post]
19 May 2015, 8:26 am
From the Desk of Jim Eccleston at Eccleston Law LLC:Goldman Sachs has been ordered to pay $100 million, plus interest, to the National Australia Bank (NAB) for violating industry practices related to the sale of mortgage-linked securities. [read post]
3 Jan 2015, 12:01 pm
From the Desk of Jim Eccleston at Eccleston Law Offices: Merrill Lynch is offering former brokers 400% transition deals to return to the firm and sing its praises. [read post]
17 Jun 2014, 7:02 am
From the Desk of Jim Eccleston at Eccleston Law Offices: With 6,200 independent and employee advisers, Raymond James legitimately now can be called a wirehouse. [read post]
