Search for: "Jim Eccleston"
Results 21 - 40
of 650
Sort by Relevance
|
Sort by Date
21 Feb 2017, 7:45 am
From the Desk of Jim Eccleston at Eccleston Law LLC:This is the third 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]
20 Feb 2017, 8:59 am
From the Desk of Jim Eccleston at Eccleston Law LLC:Across its private client, independent brokerage and in-bank brokerage channels, Wells Fargo Advisors experienced a net loss of 204 brokers during the fourth quarter of this past year. [read post]
20 Feb 2017, 8:25 am
From the Desk of Jim Eccleston at Eccleston Law LLC:Former registered rep Bobby Eugene Guess was arrested following his indictment on charges of securities fraud, theft, money laundering and engaging in organized criminal activity related to the multi-million-dollar sale of investments in an internet advertising company. [read post]
17 Feb 2017, 1:28 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:This is the second 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]
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]
15 Feb 2017, 6:24 am
From the Desk of Jim Eccleston at Eccleston Law LLC:This is the first 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]
10 Feb 2017, 9:51 am
From the Desk of Jim Eccleston at Eccleston Law LLC:The SEC has barred Connecticut investment adviser John W. [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]
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]
5 Feb 2017, 5:42 am
From the Desk of Jim Eccleston at Eccleston Law LLC:Daniel Schwamb, a senior vice president of business development at Kestra Financial, has written an article detailing four steps he believes are crucial in order to successfully transition a practice from one advisory platform to another. [read post]
2 Feb 2017, 6:27 am
From the Desk of Jim Eccleston at Eccleston Law LLC:Morgan Stanley has agreed to pay $7.5 million to settle SEC charges that it used trades involving customer cash to lower the firm’s borrowing cost. [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]
28 Jan 2017, 7:00 am
From the Desk of Jim Eccleston at Eccleston Law LLC: This is the twentieth in a series of posts to discuss the rules associated with the FINRA disciplinary process. [read post]
26 Jan 2017, 7:04 am
From the Desk of Jim Eccleston at Eccleston Law LLC:This is the nineteenth in a series of posts to discuss the rules associated with the FINRA disciplinary process. [read post]
25 Jan 2017, 6:28 am
From the Desk of Jim Eccleston at Eccleston Law LLC:FINRA is in the process of interviewing former Wells Fargo registered securities brokers who were fired because of their involvement in the company’s most recent scandal. [read post]
24 Jan 2017, 6:13 am
From the Desk of Jim Eccleston at Eccleston Law LLC:This is the eighteenth in a series of posts to discuss the rules associated with the FINRA disciplinary process. [read post]
22 Jan 2017, 5:42 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:Peggy Ann Fulford, 58, formerly of Houston and now residing in New Orleans, has been arrested and charged with wire fraud, mail fraud, interstate transportation of stolen property and money laundering. [read post]
20 Jan 2017, 6:53 am
From the Desk of Jim Eccleston at Eccleston Law LLC: This is the seventeenth in a series of posts to discuss the rules associated with the FINRA disciplinary process. [read post]
19 Jan 2017, 6:34 am
From the Desk of Jim Eccleston at Eccleston Law LLC:Former financial advisor Ash Narayan, who was the managing director of the Irvine, California, office of RGT Wealth Advisors, has agreed to accept an industry bar. [read post]
18 Jan 2017, 6:20 am
From the Desk of Jim Eccleston at Eccleston Law LLC:This is the sixteenth in a series of posts to discuss the rules associated with the FINRA disciplinary process. [read post]
