Search for: "Jim Eccleston"
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19 May 2015, 8:26 am
From the Desk of Jim Eccleston at Eccleston Law LLC:Goldman Sachs has been ordered to pay $100 million, plus interest, to the National Australia Bank (NAB) for violating industry practices related to the sale of mortgage-linked securities. [read post]
3 Jan 2015, 12:01 pm
From the Desk of Jim Eccleston at Eccleston Law Offices: Merrill Lynch is offering former brokers 400% transition deals to return to the firm and sing its praises. [read post]
17 Jun 2014, 7:02 am
From the Desk of Jim Eccleston at Eccleston Law Offices: With 6,200 independent and employee advisers, Raymond James legitimately now can be called a wirehouse. [read post]
28 Jul 2014, 6:01 am
From the Desk of Jim Eccleston at Eccleston Law Offices: Dennis Daugs Jr., who was the managing director of a Seattle advisory firm, Lakeside Capital Management, used assets from the portfolio of a senior citizen client to fund $3.1 million in personal loans without obtaining the client’s consent. [read post]
3 Aug 2015, 8:38 am
From the Desk of Jim Eccleston at Eccleston Law LLC:In early 2015, OCIE announced that it will launch a multi-year Retirement-Targeted Industry Reviews and Examinations (ReTIRE) initiative. [read post]
8 Sep 2015, 9:43 am
From the Desk of Jim Eccleston at Eccleston Law LLC:A former Maryland investment advisor, James R. [read post]
24 Dec 2015, 12:31 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:In FINRA Regulatory Notice 15-50 issued on December 7th, FINRA announced that the SEC approved amendments to FINRA Rule 2210 (Communications with the Public). [read post]
5 Feb 2015, 12:01 pm
From the Desk of Jim Eccleston at Eccleston Law Offices:The SEC has launched a review of mutual fund companies to monitor their leveraged investments.Mutual funds that trade in leveraged loans or risky loans of all types have become popular since the 2008 financial crisis, with investors seeking higher-yielding loan products.Potential risks under those mutual funds frequently include redemption delays. [read post]
30 Oct 2014, 7:01 am
From the Desk of Jim Eccleston at Eccleston Law Offices: Mergers and acquisitions continue to rise. [read post]
22 Aug 2016, 1:43 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:FINRA ruled against Morgan Stanley and Citigroup Global Markets in a case that alleged that a husband siphoned more than half a million dollars from his wife while acting as her financial adviser. [read post]
25 Apr 2015, 12:01 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:Former MLB pitcher, Jaret Wright, is suing his advisers at CSI Capital Management, Sun Trust Bank and accounting firm Taylor & Faust for fraud, misrepresentation, negligence and other wrongful conduct.Wright is seeking to recover $7.5 million in losses. [read post]
6 Nov 2015, 11:35 am
From the Desk of Jim Eccleston at Eccleston Law LLC:MetLife Inc., the largest U.S. life insurer, is under FINRA’s investigation regarding the company’s broker-dealer unit’s violations tied to variable annuities.According to FINRA, the probe focused on potential violations “regarding alleged misrepresentations, suitability, and supervision in connection with sales and replacements of variable annuities and certain riders on such annuities. [read post]
10 Jun 2014, 8:11 am
From the Desk of Jim Eccleston at Eccleston Law Offices: Patricia S. [read post]
8 Apr 2014, 6:46 am
From the Desk of Jim Eccleston at Eccleston Law Offices: In a recent arbitration award, Golden Beneficial Securities Corp., a brokerage firm headquartered in Texas, has been ordered to pay an investors couple about $2.5 million for failing to supervise a broker who allegedly perpetrated a Ponzi scheme. [read post]
23 Jul 2014, 6:01 am
From the Desk of Jim Eccleston at Eccleston Law Offices: Robert Christian Acri, a broker formerly with World Equity Group Inc., was barred from the securities industry. [read post]
28 Oct 2015, 2:22 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:The SEC has approved a FINRA rule requiring brokerage firms to add BrokerCheck links to their websites. [read post]
30 Jan 2015, 12:01 pm
From the Desk of Jim Eccleston at Eccleston Law Offices:The European Central Bank announced a new $1.1 trillion euro bond-buying program last week. [read post]
21 Jul 2014, 5:46 am
From the Desk of Jim Eccleston at Eccleston Law Offices: Mary Faher, a former investment adviser is facing felony charges for conducting an extensive multi-county Ponzi scheme in Michigan. [read post]
22 May 2015, 8:46 am
From the Desk of Jim Eccleston at Eccleston Law LLC:Troy Stratos, a self-described entertainment entrepreneur and globe-trotting businessman, pleaded guilty in California to four counts of wire fraud and two counts of money laundering. [read post]
27 Jun 2014, 7:01 am
From the Desk of Jim Eccleston at Eccleston Law Offices: Historically low interest rates in traditional bonds and bond funds are causing investors to look elsewhere. [read post]
