Search for: "Jim Eccleston"
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9 Sep 2016, 10:53 am
From the Desk of Jim Eccleston at Eccleston Law LLC:Last month, the state of Connecticut Department of Banking issued a cease-and-desist order against John W. [read post]
2 Sep 2016, 8:30 am
From the Desk of Jim Eccleston at Eccleston Law LLC:FINRA has suspended financial advisor Adam Estes of Bloomington, Indiana, for 15 months after finding that he engaged in private securities transactions without his firm’s permission. [read post]
1 Sep 2016, 1:39 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:FINRA Rule 5240 was enacted to stop fraudulent and manipulative actions in order to protect investors and the public interest.FINRA Rule 5240(a) specifically identifies three general types of conduct inconsistent with just and equitable principles of trade. [read post]
31 Aug 2016, 12:23 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:FINRA has fined UBS for failing to waive sales charges for approximately 2,700 eligible customers purchasing Class A shares. [read post]
30 Aug 2016, 2:22 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:The SEC has filed a complaint against 48 year old Donald “Jay” Lathen, Jr., who manages Eden Arc Capital Management LLC. [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]
26 Aug 2016, 1:57 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:The Securities and Exchange Commission recently announced that it barred investment adviser Dawn J. [read post]
25 Aug 2016, 5:45 am
From the Desk of Jim Eccleston at Eccleston Law LLC:An independent adviser named Dale Cerbert of The Villages, Florida was awarded $2.5 million by FINRA relating to a defamation claim he made against Morgan Stanley after his dismissal from the firm.Mr. [read post]
24 Aug 2016, 2:10 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:The SEC recently won a court order which froze the assets of two former brokers (James Hugh Brennan III, 67, and Douglas Albert Dyer, 56), who raised more than $5 million from clients and used the money for their own personal use.The ex-brokers jointly owned a company named Broad Street Ventures in Chattanooga, Tennessee since 2008. [read post]
23 Aug 2016, 11:45 am
From the Desk of Jim Eccleston at Eccleston Law LLC:On August 8, 2016, the SEC permanently barred a former adviser of Invest Financial named Alan Gold of Wilmette, Illinois for defrauding clients of nearly $2 million and using some of the funds to pay off gambling debts.Mr. [read post]
22 Aug 2016, 1:43 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:FINRA ruled against Morgan Stanley and Citigroup Global Markets in a case that alleged that a husband siphoned more than half a million dollars from his wife while acting as her financial adviser. [read post]
19 Aug 2016, 12:44 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:State regulators recently have been investigating insurance companies who allegedly have failed to make death benefit payments on a timely basis. [read post]
18 Aug 2016, 10:10 am
From the Desk of Jim Eccleston at Eccleston Law LLC:FINRA is launching investigations of brokers who have selling arrangements with Business Development Companies (BDCs). [read post]
16 Aug 2016, 7:45 am
From the Desk of Jim Eccleston at Eccleston Law LLC:The Financial Planning Association has elected a new Board of Directors for 2018. [read post]
15 Aug 2016, 9:01 am
From the Desk of Jim Eccleston at Eccleston Law LLC:In an unprecedented announcement, FINRA fined Prudential Annuities Distributors, Inc. [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]
10 Aug 2016, 2:14 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:Under the new Labor Department regulation set to become effective on December 1, 2016, any employee who makes less than $47,476 per year, or $913 per week, will receive overtime compensation. [read post]
9 Aug 2016, 2:55 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:FINRA published a Regulatory Notice on July 22, 2016 that reminded member firms that customers do not forfeit the right to have their claim arbitrated in a FINRA forum by signing any agreement with a forum selection provision specifying another dispute resolution process or another arbitration venue. [read post]
8 Aug 2016, 12:15 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:A Texas broker named William Wesley Marshall, associated with Ameriprise Financial Services, Inc. in its Plano, Texas office, was fined $10,000 and suspended for 15 months by FINRA. [read post]
5 Aug 2016, 12:05 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:The SEC’s Office of Investor Education and Advocacy is warning that older Americans are more often than others the targets of investment fraud. [read post]
