Search for: "Jim Eccleston"
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7 Apr 2017, 7:39 am
From the Desk of Jim Eccleston at Eccleston Law LLC: A former customer of Merrill Lynch has sued the firm in California civil court for engaging in fraud. [read post]
5 Apr 2017, 9:16 am
From the Desk of Jim Eccleston at Eccleston Law LLC:This is the fifteenth 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]
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]
4 Apr 2017, 9:09 am
From the Desk of Jim Eccleston at Eccleston Law LLC:This is the thirteen 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]
30 Mar 2017, 11:12 am
From the Desk of Jim Eccleston at Eccleston Law LLC:This is the fourteenth 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]
28 Mar 2017, 6:55 am
From the Desk of Jim Eccleston at Eccleston Law LLC: A federal judge in Rhode Island sentenced adviser, Patrick Churchville, to 7 years in prison for conducting a $21 million dollar Ponzi scheme with 100 of his clients. [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]
21 Mar 2017, 6:50 am
From the Desk of Jim Eccleston at Eccleston Law LLC:This is the eleventh 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 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]
16 Mar 2017, 7:01 am
From the Desk of Jim Eccleston at Eccleston Law LLC: FINRA has filed charges against former Wells Fargo Securities analyst Matthew Nemer, alleging that Mr. [read post]
14 Mar 2017, 6:59 am
From the Desk of Jim Eccleston at Eccleston Law LLC:This is the ninth 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]
13 Mar 2017, 12:42 pm
From the Desk of Jim Eccleston at Eccleston Law LLC: Blaine Aikin, who recently took over as chairman of the CFP Board of Standards, has proposed an initiative to develop new standards of professional conduct for CFP designees. [read post]
13 Mar 2017, 7:18 am
From the Desk of Jim Eccleston at Eccleston Law LLC:This is the eighth in a series of posts to discuss the 51 recommendations the FINRA Dispute Resolution Task Force (Task Force) has made to the National Arbitration and Mediation Committee (NAMC). [read post]
8 Mar 2017, 1:22 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:This is the seventh in a series of posts to discuss the 51 recommendations the FINRA Dispute Resolution Task Force (Task Force) has made to the National Arbitration and Mediation Committee (NAMC). [read post]
3 Mar 2017, 8:11 am
From the Desk of Jim Eccleston at Eccleston Law LLC:The SEC has permanently barred private equity adviser Scott M. [read post]
2 Mar 2017, 6:33 am
From the Desk of Jim Eccleston at Eccleston Law LLC:This is the fifth in a series of posts to discuss the 51 recommendations the FINRA Dispute Resolution Task Force (Task Force) has made to the National Arbitration and Mediation Committee (NAMC). [read post]
1 Mar 2017, 8:14 am
From the Desk of Jim Eccleston at Eccleston Law LLC:Investing in a hedge fund is risky and can be catastrophic. [read post]
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]
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]
22 Feb 2017, 6:13 am
From the Desk of Jim Eccleston at Eccleston Law LLC:Morgan Stanley Smith Barney has agreed to pay an $8 million penalty and admit wrongdoing in order to settle charges by the SEC.According to the complaint, the SEC alleged that Morgan Stanley did not adequately implement its policies and procedures and did not ensure that its clients understood the risks related to single-inverse ETF investments that the firm recommended to advisory clients. [read post]
