Search for: "Jim Eccleston"
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17 Jan 2017, 6:21 am
From the Desk of Jim Eccleston at Eccleston Law LLC:Wells Fargo Advisors has eliminated bonus compensation for advisors’ sale of banking and lending products. [read post]
14 Jan 2017, 7:30 am
From the Desk of Jim Eccleston at Eccleston Law LLC:This is the fifteenth in a series of posts to discuss the rules associated with the FINRA disciplinary process. [read post]
13 Jan 2017, 9:24 am
From the Desk of Jim Eccleston at Eccleston Law LLC:FINRA has censured Morgan Stanley and fined it $1.5 million for allegedly failing to provide millions of customers access to online information on purchases of mutual funds and other products. [read post]
12 Jan 2017, 6:40 am
From the Desk of Jim Eccleston at Eccleston Law LLC:This is the fourteenth in a series of posts to discuss the rules associated with the FINRA disciplinary process. [read post]
11 Jan 2017, 6:29 am
From the Desk of Jim Eccleston at Eccleston Law LLC:Merrill Lynch has discharged a broker with $1.4 billion of client assets for improperly submitting personal expenses for reimbursement, resulting in management’s loss of confidence.Sandy M. [read post]
10 Jan 2017, 6:32 am
From the Desk of Jim Eccleston at Eccleston Law LLC:This is the thirteenth in a series of posts to discuss the rules associated with the FINRA disciplinary process. [read post]
8 Jan 2017, 5:36 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:Former financial adviser Brian Keenan has pleaded guilty to stealing more than $1.6 million from the beneficiaries of three separate trusts. [read post]
7 Jan 2017, 6:02 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:This is the twelfthin a series of posts to discuss the rules associated with the FINRA disciplinary process. [read post]
5 Jan 2017, 6:52 am
From the Desk of Jim Eccleston at Eccleston Law LLC:This is the eleventh in a series of posts to discuss the rules associated with the FINRA disciplinary process. [read post]
4 Jan 2017, 8:04 am
From the Desk of Jim Eccleston at Eccleston Law LLC:New FINRA Rule 12403 gives parties more prospective arbitrators to choose from in selecting their panels. [read post]
3 Jan 2017, 9:18 am
From the Desk of Jim Eccleston at Eccleston Law LLC:This is the tenth in a series of posts to discuss the rules associated with the FINRA disciplinary process. [read post]
28 Dec 2016, 6:45 am
From the Desk of Jim Eccleston at Eccleston Law LLC:Auditing firm Grassi & Company, LLC has agreed to settle charges with the SEC for allegedly issuing nine audits reports containing unqualified opinions on the financial statements for four different funds advised by ClearPath Wealth Management, LLC. [read post]
27 Dec 2016, 8:23 am
From the Desk of Jim Eccleston at Eccleston Law LLC: Morgan Stanley has marketed a recruitment deal to financial advisors which consists of an upfront cash payment between 100% and 175% with a 9 year term in place. [read post]
24 Dec 2016, 7:00 am
From the Desk of Jim Eccleston at Eccleston Law LLC:This is the ninth in a series of posts to discuss the rules associated with the FINRA disciplinary process. [read post]
23 Dec 2016, 6:47 am
From the Desk of Jim Eccleston at Eccleston Law LLC:A panel of FINRA arbitrators has ordered Wells Fargo to pay a former rep named Shannon M. [read post]
21 Dec 2016, 6:14 am
From the Desk of Jim Eccleston at Eccleston Law LLC:This is the eighth in a series of posts to discuss the rules associated with the FINRA disciplinary process. [read post]
20 Dec 2016, 7:01 am
From the Desk of Jim Eccleston at Eccleston Law LLC:Houlihan Capital, LLC of Chicago, Illinois has submitted a Letter of Acceptance, Waiver and Consent (AWC) for its participation in the offering of a private placement of securities for a companyseeking to raise $5 million through the sale of subordinated convertible promissory notes.The findings stated that Houlihan Capital misled investors by providing inaccurate or misleadinginformation related to the risks and benefits… [read post]
17 Dec 2016, 7:00 am
From the Desk of Jim Eccleston at Eccleston Law LLC:This is the seventh of a series of posts to discuss the rules associated with the FINRA disciplinary process. [read post]
16 Dec 2016, 10:29 am
From the Desk of Jim Eccleston at Eccleston Law LLC:A FINRA arbitration panel has ordered an ex-broker from Sarasota, Florida named Donald Lee Watson, Jr. to pay Jeffrey Matthews Financial Group an amount of $260,000 for allegedly making false claims about his production levels when being recruited to join the firm.Mr. [read post]
15 Dec 2016, 7:13 am
From the Desk of Jim Eccleston at Eccleston Law LLC:This is the sixth of a series of posts to discuss the rules associated with the FINRA disciplinary process. [read post]
