Search for: "Jim Eccleston"
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24 Feb 2017, 9:51 am
From the Desk of Jim Eccleston at Eccleston Law LLC:Brian Ourand, a former registered investment adviser in Washington, D.C. was found guilty by the SEC for misappropriating funds from his clients, which included many professional athletes such as former heavyweight champion Mike Tyson and NBA star Glen Rice.Mr. [read post]
21 Dec 2016, 6:14 am
From the Desk of Jim Eccleston at Eccleston Law LLC:This is the eighth in a series of posts to discuss the rules associated with the FINRA disciplinary process. [read post]
16 Feb 2017, 7:02 am
From the Desk of Jim Eccleston at Eccleston Law LLC:Red River Securities, a Plano, Texas-based broker-dealer, has been expelled from FINRA for fraudulent sales in five oil and gas joint ventures. [read post]
7 Dec 2016, 6:29 am
From the Desk of Jim Eccleston at Eccleston Law LLC:This is the third of three posts to discuss FINRA Rule 9216. [read post]
6 Feb 2017, 6:27 am
From the Desk of Jim Eccleston at Eccleston Law LLC:The Securities and Exchange Commission has charged a Connecticut-based investment advisory firm, Sentinel Growth Management and its founder Mark J. [read post]
7 Feb 2017, 6:41 am
From the Desk of Jim Eccleston at Eccleston Law LLC:President Trump has sent a memo regarding the Department of Labor’s fiduciary duty rule. [read post]
4 Apr 2017, 11:55 am
From the Desk of Jim Eccleston at Eccleston Law LLC: Virginia financial adviser Troy Baldridge was sentenced to prison for 41 months after admitting to embezzling more than $500,000 from his mostly elderly, retired clients.According to BrokerCheck, Mr. [read post]
23 Feb 2017, 6:07 am
From the Desk of Jim Eccleston at Eccleston Law LLC:The SEC charged a California-based penny stock company, along with four corporate officers, with misleading investors about the research, development, and profitability of its purported business to manufacture power generation products such as fuel cells.Terminus Energy, Inc. raised approximately $7.9 million from investors. [read post]
17 Mar 2017, 8:58 am
From the Desk of Jim Eccleston at Eccleston Law LLC:This is the tenth in a series of posts to discuss the 51 recommendations that the FINRA Dispute Resolution Task Force (Task Force) has made to the National Arbitration and Mediation Committee (NAMC). [read post]
17 Jan 2017, 6:21 am
From the Desk of Jim Eccleston at Eccleston Law LLC:Wells Fargo Advisors has eliminated bonus compensation for advisors’ sale of banking and lending products. [read post]
12 Jan 2017, 6:40 am
From the Desk of Jim Eccleston at Eccleston Law LLC:This is the fourteenth in a series of posts to discuss the rules associated with the FINRA disciplinary process. [read post]
20 Oct 2016, 9:05 am
From the Desk of Jim Eccleston at Eccleston Law LLC:The SEC has fined and censured Dupree Financial Group, LLC (Dupree Financial) $25,000 for compliance failures. [read post]
29 Jul 2014, 7:01 am
From the Desk of Jim Eccleston at Eccleston Law Offices: Patricia S. [read post]
24 Mar 2017, 10:23 am
From the Desk of Jim Eccleston at Eccleston Law LLC:This is the twelfth in a series of posts to discuss the 51 recommendations that the FINRA Dispute Resolution Task Force (Task Force) has made to the National Arbitration and Mediation Committee (NAMC). [read post]
6 Nov 2016, 12:00 pm
From the Desk of Jim Eccleston at Eccleston Law LLC: As the population continues to age, FINRA has proposed new regulations that would expand wealth management firms’ responsibilities as well as their scope of action with regard to the financial abuse of the elderly.A proposal was submitted to the SEC by FINRA which would require firms to make “reasonable” efforts to get the contact information for a client’s so-called trusted person. [read post]
2 Nov 2016, 6:26 am
From the Desk of Jim Eccleston at Eccleston Law LLC: The Securities and Exchange Commission has settled charges against Moloney Securities Company, Inc. and its CIO Joseph Ronald Medley, Jr. because of several compliance and disclosure issues. [read post]
17 Dec 2016, 7:00 am
From the Desk of Jim Eccleston at Eccleston Law LLC:This is the seventh of a series of posts to discuss the rules associated with the FINRA disciplinary process. [read post]
5 Dec 2016, 6:40 am
From the Desk of Jim Eccleston at Eccleston Law LLC: This is the second of three posts to discuss FINRA Rule 9216. [read post]
3 Nov 2016, 7:09 am
From the Desk of Jim Eccleston at Eccleston Law LLC: FINRA has ordered J.P. [read post]
31 Jan 2017, 6:27 am
From the Desk of Jim Eccleston at Eccleston Law LLC:This is the twenty-first in a series of posts to discuss the rules associated with the FINRA disciplinary process. [read post]
