Search for: "Jim Eccleston"
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25 Jun 2015, 2:20 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:Mergers and acquisitions among investment advisers show steady growth for that segment in the financial services industry.Buying parties predominantly are other RIAs and strategic acquiring firms, but it’s a seller’s market. [read post]
4 Nov 2014, 7:01 am
From the Desk of Jim Eccleston at Eccleston Law Offices: The SEC approved a rule establishing supervisory requirements for municipal advisors. [read post]
8 Jul 2015, 1:33 pm
From the Desk of Jim Eccleston at Eccleston Law LLC: In an analysis, Morningstar data showed investors in bond funds underperformed the “unconstrained” managers of investments and traditional fixed-income funds within the last decade. [read post]
2 Apr 2015, 1:14 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:A former RBS Securities broker is under investigation by FINRA for investment fraud.According to FINRA, Matthew C. [read post]
26 Jun 2014, 8:24 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]
27 Jul 2016, 6:02 am
From the Desk of Jim Eccleston at Eccleston Law LLC:The SEC has approved FINRA’s proposal to adopt the new Rule 3210. [read post]
6 Oct 2016, 12:34 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:A Michigan judge has sentenced twins James Mulholland of St. [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]
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]
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]
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 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]
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]
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]
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]
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]
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]
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]
20 Oct 2016, 9:05 am
From the Desk of Jim Eccleston at Eccleston Law LLC:The SEC has fined and censured Dupree Financial Group, LLC (Dupree Financial) $25,000 for compliance failures. [read post]
29 Jul 2014, 7:01 am
From the Desk of Jim Eccleston at Eccleston Law Offices: Patricia S. [read post]
