Search for: "Jim Eccleston"
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4 Aug 2016, 2:04 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:Litigation resulting from alleged breach of fiduciary duty in 401(k) plans has been more common, but limited mainly to corporations sponsoring multi-billion-dollar retirement plans. [read post]
3 Aug 2016, 8:27 am
From the Desk of Jim Eccleston at Eccleston Law LLC:Market-linked structured notes with principal protection (also known as “Structured Notes”) are very complex securities that are gaining traction in the retail market. [read post]
2 Aug 2016, 2:38 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:Dez BryantIn a beef between the Dallas Cowboys’ star receiver, Bryant, and current Texas State Sen. [read post]
29 Jul 2016, 2:23 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:The Commission will focus on recommendations of share classes with respect to conflicts of interest that may be generated as a result of broker-dealer affiliates. [read post]
28 Jul 2016, 1:45 pm
From the Desk of Jim Eccleston at Eccleston Law LLC: On July 15, 2016, the SEC charged both Thomas D. [read post]
27 Jul 2016, 6:02 am
From the Desk of Jim Eccleston at Eccleston Law LLC:The SEC has approved FINRA’s proposal to adopt the new Rule 3210. [read post]
26 Jul 2016, 12:28 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:Recently the DOL posted a list of technical corrections, one of which deleted six words, creating confusion about the use of best-interest contract exemption (BICE). [read post]
25 Jul 2016, 9:13 am
From the Desk of Jim Eccleston at Eccleston Law LLC:In recent news, Allen Stanford was convicted for his role as the leader of a$7 billion Ponzi scheme. [read post]
22 Jul 2016, 12:16 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:According to a recent settlement with FINRA, Gary Lee Rathbun and Douglas Scott Miller failed to disclose “monitoring fees” regarding the sale of investments to both their registered investment adviser, Private Wealth Consultants, Ltd., and their broker dealer, Triad Advisors. [read post]
21 Jul 2016, 9:22 am
From the Desk of Jim Eccleston at Eccleston Law LLC:We recently examined a promissory note agreement for a rep considering a move to an independent brokerage firm. [read post]
20 Jul 2016, 11:30 am
From the Desk of Jim Eccleston at Eccleston Law LLC:The Hamptons are known for lavish summer vacations for New York’s wealthiest, but a recent visit cost a New York hedge fund manager his job and a lawsuit that could end with a million dollar tab. [read post]
19 Jul 2016, 3:06 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:The debate over the Labor Department’s regulation to raise investment advice standards for retirement accounts has been waged contentiously by regulators, lawmakers and industry professionals for the last six years. [read post]
18 Jul 2016, 11:47 am
From the Desk of Jim Eccleston at Eccleston Law LLC:The Securities and Exchange Commission recently charged Andrew W.W. [read post]
15 Jul 2016, 12:44 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:The Securities and Exchange Commission has announced that a final judgment has been entered against investment adviser Lee D. [read post]
14 Jul 2016, 8:47 am
From the Desk of Jim Eccleston at Eccleston Law LLC:In its latest settlement Raymond James has agreed to pay almost $6 million resulting from investments related to ski resorts that allegedly violated Vermont state securities regulations. [read post]
12 Jul 2016, 2:02 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:The retirement plan provider joins a list of other firms such as MassMutual, Fidelity and Ameriprise that have settled lawsuits with their own 401 (k) participants.Plaintiffs in the suit alleged breach of fiduciary duty under the Employee Retirement Income Security Act of 1974 (ERISA) by Transamerica and affiliated companies for charging excessive administrative and investment management fees.Transamerica allegedly… [read post]
11 Jul 2016, 1:41 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:The enforcement action brought by the SEC claims that WFG Advisors overbilled for investments in REITs and Business Development Companies (BDCs). [read post]
8 Jul 2016, 11:49 am
From the Desk of Jim Eccleston at Eccleston Law LLC:The SEC recently announced that it would award a company employee with more than $17 million dollars for a detailed tip that substantially advanced the agency’s efforts and ultimate enforcement action. [read post]
6 Jul 2016, 1:20 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:CFP advisors Jeffrey and Kimberly Camarda, continue to face disciplinary action after a long-running legal battle with the CFP Board. [read post]
1 Jul 2016, 12:47 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:On June 24th, the Securities and Exchange Commission charged Chris Faulkner, known as the “Frack Master” along with seven additional individuals and four companies for an $80 million oil and gas fraud scheme. [read post]
