Search for: "Jim Eccleston"
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24 Jun 2015, 2:20 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:After the Wall Street Journal reported states had little ability to keep tabs on barred brokers, the states have decided to make improvements in their capabilities.The article severely criticized state insurance watchdogs, whose systems allowed brokers simply to slip through the cracks.The National Association of Insurance Commissioners, NAIC, now has partnered with the states in order to establish a much more effective… [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]
30 Jun 2014, 7:01 am
From the Desk of Jim Eccleston at Eccleston Law Offices: Wirehouses are shifting away from a commission-based brokerage model to a fee-based business model. [read post]
11 Aug 2014, 2:25 pm
From the Desk of Jim Eccleston at Eccleston Law Offices: Michael A. [read post]
13 May 2014, 7:02 am
From the Desk of Jim Eccleston at Eccleston Law Offices: Harry Stokes, a former registered broker employed by NFP Securities, Inc. from Monroe, North Carolina was charged with defrauding dozens of investors, including his family and close friends out of millions of dollars. [read post]
8 Apr 2015, 7:01 am
From the Desk of Jim Eccleston at Eccleston Law LLC:A former Barclays PLC swaps trader has won about $9 million in back pay that he didn’t receive after quitting the firm during a regulatory investigation.Mayank Chamadia joined Barclays in 2004 and was placed on administrative leave from his derivatives-trading job in June 2013 because his group was part of an industry-wide investigation into alleged manipulations of interest rate swaps.Chamadia wasn’t accused… [read post]
28 Jul 2015, 7:01 am
From the Desk of Jim Eccleston at Eccleston Law LLC:The SEC announced charges against Mark P. [read post]
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]
23 Jul 2015, 7:00 am
From the Desk of Jim Eccleston at Eccleston Law LLC:Puerto Rico’s governor is adamant that the island is unable to pay back its $72 billion debt, but OppenheimerFunds Inc., the largest mutual-fund holder of the bonds, believes otherwise.After analyzing the island’s sales-tax collections and income growth, Oppenheimer claims that Puerto Rico’s economy has proven to be strong enough to pay off the large amount it owes. [read post]
25 Nov 2014, 7:01 am
From the Desk of Jim Eccleston at Eccleston Law Offices: Blake Richards, a former broker for LPL Financial LLC, will pay more than $1.9 million in restitution to his clients to resolve an SEC fraud suit against him. [read post]
22 May 2014, 11:02 am
From the Desk of Jim Eccleston at Eccleston Law Offices: Gaeton “Guy” S. [read post]
5 Aug 2015, 6:36 am
From the Desk of Jim Eccleston at Eccleston Law LLC: Edward Jones has revealed a growth plan that, if successful, will result in the St. [read post]
29 Sep 2016, 7:00 am
From the Desk of Jim Eccleston at Eccleston Law LLC:Since its inception in 2011, the SEC’s whistleblower program has awarded more than $111 million to 34 whistleblowers.Recently, the SEC awarded more than $4 million to a whistleblower whose original information alerted the agency to a fraud.The whistleblowing process requires diligence and follow through. [read post]
