Search for: "Jim Eccleston"
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13 Dec 2016, 9:54 am
From the Desk of Jim Eccleston at Eccleston Law LLC:The SEC has charged a Salt Lake City-based investment adviser named Gary E. [read post]
12 Dec 2016, 9:55 am
From the Desk of Jim Eccleston at Eccleston Law LLC:This is the fifth of a series of posts to discuss the rules associated with the FINRA disciplinary process. [read post]
9 Dec 2016, 8:11 am
From the Desk of Jim Eccleston at Eccleston Law LLC:FINRA has charged a former Wells Fargo adviser named Jack Donnarumma from White Plains, New York, with allegedly misrepresenting himself as a Wells Fargo personal banker and bank officer when in fact he was only an adviser. [read post]
8 Dec 2016, 6:40 am
From the Desk of Jim Eccleston at Eccleston Law LLC:This is the fourth of a series of posts to discuss the rules associated with the FINRA disciplinary process. [read post]
7 Dec 2016, 6:29 am
From the Desk of Jim Eccleston at Eccleston Law LLC:This is the third of three posts to discuss FINRA Rule 9216. [read post]
6 Dec 2016, 6:36 am
From the Desk of Jim Eccleston at Eccleston Law LLC:This is the third of a series of posts to discuss the rules associated with the FINRA disciplinary process. [read post]
5 Dec 2016, 6:40 am
From the Desk of Jim Eccleston at Eccleston Law LLC: This is the second of three posts to discuss FINRA Rule 9216. [read post]
2 Dec 2016, 10:24 am
From the Desk of Jim Eccleston at Eccleston Law LLC:This is the second of a series of posts to discuss the rules associated with the FINRA disciplinary process. [read post]
1 Dec 2016, 10:01 am
From the Desk of Jim Eccleston at Eccleston Law LLC:This is the first of three posts to discuss FINRA Rule 9216. [read post]
29 Nov 2016, 9:10 am
From the Desk of Jim Eccleston at Eccleston Law LLC:This is the first of a series of posts to discuss the rules associated with the FINRA disciplinary process. [read post]
28 Nov 2016, 6:36 am
From the Desk of Jim Eccleston at Eccleston Law LLC:Christian Meissenn, also known as “Christian Nigohossian,” from Suffield, Connecticut pled guilty to one count of conspiracy to commit mail and wire fraud and one count of tax evasion before a U.S. [read post]
26 Nov 2016, 7:00 am
From the Desk of Jim Eccleston at Eccleston Law LLC:FINRA has fined Oppenheimer & Co. [read post]
25 Nov 2016, 7:00 am
From the Desk of Jim Eccleston at Eccleston Law LLC:FINRA has fined eight firms which include Voya Financial Advisors, Kestra Investment Services, FTB Advisors and five broker-dealer subsidiaries of Cetera Financial Group, comprising of Cetera Advisor Networks, Cetera Financial Specialists, First Allied Securities, Summit Brokerage Services and VSR Financial Services.FINRA fined these firms for selling L-share variable annuities that were only suitable for a narrow class… [read post]
23 Nov 2016, 7:07 am
From the Desk of Jim Eccleston at Eccleston Law LLC:Carlos Maldonado, owner of Business Planning Resources International Corporation (BPRIC), and associated under the incorporation documents with Pet Card Systems, Inc., and Datavos Corporation, was arrested and charged with securities fraud and bank fraud .From 2007 through 2012, Mr. [read post]
21 Nov 2016, 9:33 am
From the Desk of Jim Eccleston at Eccleston Law LLC:The SEC filed charges on October 24 against Southlake Resources Group, LLC, its president, Cody M. [read post]
18 Nov 2016, 9:40 am
From the Desk of Jim Eccleston at Eccleston Law LLC:FINRA has barred a former WFG Investment broker by the name of Stuart G. [read post]
17 Nov 2016, 8:38 am
From the Desk of Jim Eccleston at Eccleston Law LLC:Ash Narayan, an investment adviser in Irvine, Calif., has been temporarily suspended by the Certified Financial Planner Broad of Standards for allegedly misappropriating client funds and misrepresenting to clients that he was a Certified Public Accountant, when he was not.Mr. [read post]
16 Nov 2016, 6:51 am
From the Desk of Jim Eccleston at Eccleston Law LLC:Gary Snisky of Longmont, Colorado, has been arrested on charges of mail fraud and money laundering during a scheme to defraud investors. [read post]
14 Nov 2016, 7:23 am
From the Desk of Jim Eccleston at Eccleston Law LLC:Stephen C. [read post]
12 Nov 2016, 6:00 am
From the Desk of Jim Eccleston at Eccleston Law LLC:A Boca Raton, Florida stockbroker named Gerald Cocuzzo who worked at Newbridge Securities Corporation, has pled guilty to participating in a $131 million securities fraud and could face up to 20 years in prison.Cocuzzo, 38, was charged with defrauding investors in a publicly traded company called ForceField Energy, Inc. [read post]
