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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]
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]
21 Mar 2017, 6:50 am
From the Desk of Jim Eccleston at Eccleston Law LLC:This is the eleventh 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]
24 Mar 2017, 10:23 am
From the Desk of Jim Eccleston at Eccleston Law LLC:This is the twelfth 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]
6 Nov 2016, 12:00 pm
From the Desk of Jim Eccleston at Eccleston Law LLC: As the population continues to age, FINRA has proposed new regulations that would expand wealth management firms’ responsibilities as well as their scope of action with regard to the financial abuse of the elderly.A proposal was submitted to the SEC by FINRA which would require firms to make “reasonable” efforts to get the contact information for a client’s so-called trusted person. [read post]
2 Nov 2016, 6:26 am
From the Desk of Jim Eccleston at Eccleston Law LLC: The Securities and Exchange Commission has settled charges against Moloney Securities Company, Inc. and its CIO Joseph Ronald Medley, Jr. because of several compliance and disclosure issues. [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]
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]
22 Feb 2017, 6:13 am
From the Desk of Jim Eccleston at Eccleston Law LLC:Morgan Stanley Smith Barney has agreed to pay an $8 million penalty and admit wrongdoing in order to settle charges by the SEC.According to the complaint, the SEC alleged that Morgan Stanley did not adequately implement its policies and procedures and did not ensure that its clients understood the risks related to single-inverse ETF investments that the firm recommended to advisory clients. [read post]
26 Aug 2014, 1:12 pm
From the Desk of Jim Eccleston at Eccleston Law Offices: Sean Meadows, an unregistered Minneapolis financial planner, has been charged with orchestrating a $10 million Ponzi scheme. [read post]
13 Oct 2016, 6:27 am
From the Desk of Jim Eccleston at Eccleston Law LLC:In 2015, wirehouse firms such as UBS Financial, Merrill Lynch, Wells Fargo Advisors and Morgan Stanley, incurred a net loss of 312 reps. [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]
11 Nov 2016, 6:33 am
From the Desk of Jim Eccleston at Eccleston Law LLC:Could President-elect Trump put a halt to the Department of Labor’s fiduciary regulation? [read post]
27 Oct 2016, 6:15 am
From the Desk of Jim Eccleston at Eccleston Law LLC:Paul Lebel, formerly registered with LPL Financial, was barred by the Securities and Exchange Commission for defrauding four customers by churning their accounts.Mr. [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]
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]
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]
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]
3 Nov 2016, 7:09 am
From the Desk of Jim Eccleston at Eccleston Law LLC: FINRA has ordered J.P. [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]
